Issue: 1258, Date: April 11, 2014

The Register

Published by: The Secretary of the Commonwealth, William Francis Galvin, Secretary $15.00

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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. Issue: 1258 Date: 4/11/14 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

EXECUTIVE OFFICE OF HEALTH AND HUMAN SERVICES Administrative Bulletin 14-08: 101 CMR 357.00: Money Follows the Person Waiver Services 3

ADMINISTRATIVE PROCEDURES Notices of Public Review of Prospective Regulations 5 Cumulative Table 69 Notice of Expiration of Emergency Regulation - Emergency Regulations 77 Permanent Regulations 97 Future Effective Date Regulations -

MASSACHUSETTS REGISTER (THE) (ISSN-08963681) is published biweekly for $300.00 per year by the Secretary of the Commonwealth, State House, Boston, MA 02133. Second Class postage is paid at Boston, MA. POSTMASTER: Send address change 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

Notice of Expiration of Emergency Regulation There are no Notices of Expiration in this Massachusetts Register -

Emergency Regulations

101 CMR Executive Office for Health and Human Services 306.00 Rates of Payment for Mental Health Services Provided by Community Health Centers and Mental Health Centers 77 Implements the requirements of St. 2013, c. 118, § 32, M.G.L. c. 118E, § 13D, and guidance from CMS regarding federal National Correct Coding Initiative (NCCI). It also requires updates of mental health center rates, which includes rates for behavioral health services in community health centers, effective January 1, 2014. Pursuant to M.G.L. c. 118E, § 13D, EOHHS is required to review rates at least biennially for these non-institutional providers. 614.00 Health Safety Net Payments and Funding - Re-file 79

105 CMR Department of Public Health 171.000 Massachusetts First Responder Training 81 Requires first responders to be trained in administration of naloxone as part of their regular training. Also sets out the required documentation municipalities must maintain in order to permit first responders to carry and administer naloxone. 700.000 Implementation of M.G.L. c. 94C 83 Permits municipalities to register with the Department in order to permit first responders to carry and administer naloxone in accordance with the Massachusetts First Responder Training regulations, and institutes procedures to ensure that the naloxone is packaged and dispensed properly.

114 CMR Division of Health Care Finance and Policy 114.3 6.00 Rates of Payment for Mental Health Services Provided by Community Health Centers and Mental Health Centers 85 Repeals regulation 114.6 14.00 Health Safety Net Payments and Funding 87 Repeals Regulation.

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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

130 CMR Division of Medical Assistance 429.000 Mental Health Center Services 89 Conforms and clarifies changes that stem from billing of E/M codes and to ensure that its provisions and revisions to 101 CMR 306.000 align. These changes include clarification of ‘crisis intervention’ services as ‘psychotherapy in crisis’ services, and specify the types of staff members, including psychiatric nurse mental health clinical specialists, who are authorized to render mental health services for which mental health centers may bill.

205 CMR Massachusetts Gaming Commission 125.00 Surrounding Communities 91 Sets forth the arbitration procedure between gaming applicants and surrounding communities.

430 CMR Division of Unemployment Assistance 5.00 Employer Requirement Series 93 Changes the due date of employer contributions for the first quarter of 2014 only. The immediate amendment of 430 CMR. 5.03(4) is necessary for the preservation of the general welfare to promote the timely payment of eligible claims for unemployment and the adequate funding of the unemployment insurance trust fund.

961 CMR State Lottery Commission 2.00 Rules and Regulations 95 Amends the regulations for the Lucky For Life game.

Permanent Regulations

211 CMR Division of Insurance 7.00 Financial Surveillance of Massachusetts Insurance Holding Company Systems 97 Brings the provisions of 211 CMR 7.00 into compliance with national standards relative to disclosure requirements and monitoring of enterprise risk as it relates to domestic insurance companies that are members of an insurance holding company system. The changes are also necessary to assure that the Division of Insurance continues to be accredited by the National Association of Insurance Commissioners (“NAIC”).

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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

321 CMR Division of Fisheries and Wildlife 3.00 Hunting 99 Establishes the rules for taking amphibians in the Commonwealth, including snapping turtles. Eliminates the harvest of wild snapping turtles for commercial purposes and further limit their harvest for personal use. 4.00 Fishing 101 Establishes the rules for harvest, possession and sale of certain inland fish species in the Commonwealth.

603 CMR Board of Elementary and Secondary Education 1.00 Charter Schools 103 Provides uniform rules & procedures governing the establishment of charter schools. The amendments are comprehensive & align the regulations with current guidance & policy, strengthen aspects of the charter school accountability system and align it more closely with the statewide accountability system, revises certain provisions regarding eligibility for new charters, increases enrollment of new students by prohibiting "rolling" waitlists and modifying requirements for filling admission spots that become available during a school year, specifies the roles and responsibilities of boards of trustees, changes the procedural requirements for amendments to charters, and clarifies the processes for imposition of conditions, probation, and closure. 28.00 Special Education 105 Governs the provision by Massachusetts public schools of special education and related services to eligible students and the approval of public or private day and residential schools seeking to provide special education services to publicly funded eligible students. The amendments are technical amendments to ensure consistency with the law (M.G.L. c. 71, § 94) on virtual schools.

48.00 Innovation Schools 107 Provides uniform rules and procedures governing the establishment of innovation schools. The amendments repeal the provisions relating to virtual innovation schools, in accordance with those provisions of St. 2012, c. 379, which eliminated virtual innovation schools and replaced such schools with Commonwealth Virtual Schools.

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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

780 CMR Board of Building Regulations and Standards 1.00 Scope and Administration 109 Provides the scope of, and administrative requirements for, the entire building code. Amends the International Building Code, 2009 edition (IBC) to address MA General Laws and other issues unique to MA. Combines (embed) the amendments into the (IBC) text for ease of use. Adjusts several sections to add clarity, in particular Section 107, Construction Control, but the requirements of Chapter 1 have not changed. 2.00 Definitions 111 Provides definitions for terms used in the building code. Replaces the definition of owner to address circumstances not clearly covered by the current definition, especially in regard to State owned buildings. Substitutes the definition of Registered Design Professional for Registered Design Professional in Responsible Charge to clarify the intent that these terms, used primarily in Chapters 1 and 17, should have the same meaning. 5.00 General Building Heights and Areas 113 Provides regulations governing the allowable heights and areas of buildings considering construction type and other criteria. Reinstates the allowance to construct taller residential buildings if compliant fire sprinkler systems are installed. 9.00 Fire Protection Systems 115 Provides regulations for fire protection systems. In general, reduces the changes to the virgin IBC language in an effort to meet that intention of the BBRS. The Fire Prevention/Fire Protection (FPFP) advisory committee to BBRS prepared these revisions after reviewing the performance of their initial recommendations that were implemented when the current code was first released in August 2010. One specific change corrects a conflict found with the fire code regarding the need for carbon monoxide detectors. 34.00 Existing Structures 117 Provides requirements for existing commercial and large residential structures. These amendments are a direct result of the BBRS direction to its advisory committees to reduce regulations and target those regulations that add to the cost of construction without commensurate life safety benefits.

961 CMR State Lottery Commission 2.00 Rules and Regulations - Compliance 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. The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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 2014 CHAPTER BILL TITLE DATE NUMBER NUMBER

34 H 2844 Authorizing the Conveyance or Lease of a Parcel of Land in the 2/20/2014 City of Northampton for Park, Recreation or Open Space Purposes.

35 H 3627 Authorizing the Town of Ashland to Establish an Enterprise Fund. 2/21/2014

36 H 3830 Establishing a Sick Leave Bank for Carol L. Clark, an Employee 2/21/2014 of the Department of Developmental Services.

37 H 3831 Authorizing the City of Salem to Convert 1 Seasonal License to 2/21/2014 an Annual License for the Sale of Wines and Malt Beverages to be Drunk on the Premises.

38 S 1993 Further Limiting the Liability of Persons Rendering Certain 2/21/2014 Emergency Medical Care.

39 H 3880 Relative to the Terms of Certain Bonds to be Issued by the 3/4/2014 Commonwealth.

40 S 2000 Establishing a Sick Leave Bank for Richard Maynard, an 3/4/2014 Employee of the Trial Court.

41 S 1851 Authorizing the City of Fall River to use Certain Park Land for 3/4/2014 Combined Sewer Overflow Control.

42 S 1919 Relative to Newborn Pulse Oximetry Screenings for Congenital 3/6/2014 Heart Defects.

43 H 3934 Relative to Unlawful Sexual Surveillance. 3/7/2014

44 S 1794 Authorizing the Town of Arlington to Establish a Special Account 3/11/2014 for the Purchase, Installation and Maintenance of Public Works of Art.

45 H 45 Establishing a Sick Leave Bank for Margaret C. Henderson, an 3/11/2014 Employee of the Executive Office of Health and Human Services.

46 H 3518 Relative to the Membership of the Conservation Commission in 3/14/2014 the Town of Dedham.

47 H 3818 Relative to the Parks and Recreation Commission in the Town of 3/14/2014 Hardwick.

48 H 3736 Encouraging the Improvement, Expansion and Development of 3/14/2014 Military Installations in the Commonwealth.

49 S 1939 Regulating Sewer Betterment Assessments in the Town of 3/14/2014 Falmouth.

50 H 3834 Eliminating the Board of Public Works in the Town of Acushnet. 3/14/2014

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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 2014 CHAPTER BILL TITLE DATE NUMBER NUMBER

51 S 1998 Establishing a Sick Leave Bank for Angela Furey, an Employee 3/14/2014 of the Trial Court.

52 H 3947 Making Appropriations for the Fiscal Year 2014 to Provide for 3/17/2014 Supplementing Certain Existing Appropriations and for Certain Other Activities and Projects.

53 H 3955 Relative to the Charter of the Town of Dedham. 3/19/2014

54 S 1172 Ensuring the Safety of People with Pets in Disasters. 3/24/2014

55 H 3862 Establishing a Parks and Fields Capital Enhancements Special 3/24/2014 Revenue Fund in the City of Marlborough.

56 S 1531 Authorizing the Commissioner of Capital Asset Management and 3/24/2014 Maintenance to Grant Easements over Certain Parcels of Land to the Town of Amherst.

57 H 3750 Authorizing the Town of Hadley to Grant 6 Additional Licenses 3/26/2014 for the Sale of All Alcoholic Beverages and 6 Additional Licenses for the Sale of Wines and Malt Beverages to be Drunk on the Premises.

58 S 873 Relative to Private Construction Contracts. 3/26/2014

59 H 3688 Authorizing the Town of Burlington to Grant Additional Alcoholic 4/2/2014 Beverages Licenses.

60 H 3791 Authorizing the Town of Winchester to Continue Employment of 4/2/2014 Police Chief Kenneth C. Albertelli.

61 H 3509 Relative to Insurance Proceeds from Property Claims in the 4/2/2014 Town of Northborough.

62 S 2052 Relative to Veterans' Allowances, Labor, Outreach and 4/3/2014 Recognition.

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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 MassHealth Office of Medicaid One Ashburton Place Boston, MA 02108 DEVAL 1. PATRICK Governor

JOHN W. POLANOWICZ Secretary

KI

Administrative Bulletin 14-08

101 CMR 357.00: Money Follows the Person Waiver Services

Effective April 1,2013

Employer Expense Component for Self-Directed Workers

The Executive Office of Health and Human Services is issuing this Administrative Bulletin, pursuant to 101 CMR 357.01(3), to notify interested parties of the Employer Expense Component* of the Self-Directed Worker rates contained in 101 CMR 357.03(5). The Employer Expense Component for each of the Self-Directed Worker rates contained in 101 CMR 357.03(5) is listed below.

Self- Employer Self-Directed Directed Expense Final Service Unit Worker Rate Base Rate Component Rate

Adult Per 15 $4.55 $4.55 $4.02 $0.53 $4.55 Companion mm

Per 15 89.75% of Chore $6.32 $5.58 $0.74 $6.32 mm Agency Rate

Per 15 89.75% of Homemaker $4.55 $4.02 $0.53 $4.55 min Agency Rate

Individual Same as Support & Per 15 $5.83 $5.15 $0.68 Individual $5.83 Community mm Provider Rate Habilitation

Per 15 89.75% of Peer Support $5.59 $4.94 $0.65 $5.59 mm Agency Rate

Per 15 See 101 CMR $3.68 $3.25 $0.43 $3.68 Personal Care min 357.03(1)

*As defined under 101 CMR 357.02, the Employer Expense Component is the portion of the Self-Directed Worker rate that is designated for the mandated employer share of FICA, federal and state unemployment taxes, Medicare, and Workers' Compensation premiums.

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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. THE COMMONWEALTH OF MASSACHUSETTS Secretary of the Commonwealth - William Francis Galvin

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

April 11, 2014

Boxers’ Fund Board 529 CMR 2.00 4/25/14 @ 10:00 A.M. A two week public comment period will follow.

Correction, Department of 103 CMR 924.00 4/22/14 @ 10:00 A.M. Written presentations accepted prior to 4/22/14 or at hearing.

Deaf and Hard of Hearing, 112 CMR 3.00 5/3/14, 10:00 A.M. - 12:00 Commission for the P.M. Written comments accepted until 5/6/14.

Environmental Protection, 310 CMR 4.00 4/22/14 @ 10:00 A.M.; Department of 4/23/14 @ 10:00 A.M.; 4/23/14 @ 2:00 P.M. Written testimony accepted until 5/5/14 @ 5:00 P.M.

310 CMR 36.00 5/1/14; 5/5/14; 5/7/14; 5/8/14; 5/12/14; 5/14/14. For each hearing date, there will be a presentation from 10:00 A.M. - 11:30 A.M. with the hearing to follow at 12:00 P.M. - 2:00 P.M. Written Comments accepted until 6/10/14 @ 5:00 P.M.

Health Care Finance and Policy, 114.3 CMR 6.00 5/5/14 @ 10:00 A.M. Written Division of testimony accepted until 5/15/14 @ 5:00 P.M.

114.4 CMR 13.00 5/6/14 @ 10:00 A.M. Electronic and written testimony accepted until 5/16/14 @ 5:00 P.M.

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. Health and Human Services, 101 CMR 306.00 5/5/14 @ 10:00 A.M. Written Executive Office of testimony accepted until 5/15/14 @ 5:00 P.M.

101 CMR 413.00 5/6/14 @ 10:00 A.M. Electronic and written testimony accepted until 5/16/14 @ 5:00 P.M.

Medical Assistance, Division of 130 CMR 429.00 Comments accepted until 5/2/14 @ 5:00 P.M.

Public Health, Department of 105 CMR 171.000 & 4/25/14 @ 10:00 A.M. 700.000 Written comments accepted until 4/25/14 @ 5:00 P.M.

105 CMR 445.000 4/28/14 @ 10:00 A.M. Electronic and written testimony accepted until 4/28/14 @ 5:00 P.M.

State Lottery Commission 961 CMR 2.00 4/22/14 @ 9:00 A.M. Written comments accepted in advance of the public hearing.

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. ~~ ~"'~~~ ~~~g;~~~ tlne- ~ g?Jke,. ~ /81// f}I~. ~ 1/2/l/rf-/6'/rf Deval L. Patrick g?J~ fd'//;J )"2)"-J21/1/ Andrea J. Cabral Governor Secretary

~tr.v fd'//;J )"2)"S)"82 Thomas G. Gatzunis, P.E. Commissioner .!7YWfo'u:J ?..??-tltl/.9

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Boxers' Fund Board 529 CMR 2.00 NOTICE OF PUBLIC HEARING

Under the provisions ofM.G.L. c. 30A, and pursuant to M.G.L. c.6, §99, the Boxers' Fund Board will hold a public hearing for the purposes of gathering comments, ideas, and information concerning overall revisions to 529 CMR. The revisions incorporate the change in M.G.L. c.147, §40A requiring that financial need be based on an injury sustained during an event, and update outdated provisions, including those limiting eligibility for funds to boxers only, rather than all fighters regulated by the State Athletic Commission. Ae.,O:c>o,A."., The public hearing is scheduled for April 25, 2014, in the Department of Public Safety conference room on the 13th Floor of the McCormack Building at One Ashburton Place, Boston, MA 02108.

Copies of the proposed regulation may be obtained from the Department of Public Safety'S website at www.mass.gov/dps or from the Department of Public Safety, One Ashburton Place, Room 1301, Boston, MA 02108. Anyone who desires to be heard on the matter should appear at the designated time and place. A two-week public comment period will follow.

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. SMALL BUSINESS IMPACT STATEMENT

In order to accurately predict the impact the adoption, amendment, or repeal of a regulation will have on small businesses, the promulgating authority must conduct a thorough analysis that not only considers the potential effects of the action but also quantifies the costs, if any, associated with each. The questions below are designed to aid promulgating authorities in conducting their analysis.

Agency Submitting Regulation: Department of Public Safety

Subject Matter of Regulation:Administration of the Boxers' Fund Board

Regulation No: 529 CMR 2. 00

Statutory Authority: M.G.L. c. 6 s. 99

Other Agencies Affected: None

Other Regulations That May Duplicate or Conflict with the Regulation: None

Describe the Scope and Objectives of the Regulation: The regulations outline the eligibility requirements for obtaining assistance from the Boxers' Fund and other standards of the Board.

Business Industry(ies) Affected by the Regulation: Industries affected by the regulation will include entertainment and recreation businesses involved in various forms of unarmed combat.

Types of Businesses Included in the Industry(ies): Types of businesses included in the industry will include entertainment and recreation businesses involved in various forms of unarmed combat.

Total Number of Small Businesses Included in the Regulated Industry(ies) Please see the attached guidance documents for assistance determining the total number of small businesses: A search of the Dynamic Small Business Impact Tool for NAlCS codes 71121 (Spectator Sports), 71129 (Other Spectator Sports), 711310 (Promoters of Performing Arts, Sports, and Similar Events with Facilities), 711320 (Promoters of Performing Arts, Sports, and Similar Events without Facilities), and 711410 (Agents and Managers for Artists, Athletes, Entertainers, and Other Public Figures) revealed a total of 3 small business included in the regulated industry.

Number of Small Businesses Potentially Subject to the Proposed Regulation: After reviewing the three small businesses included in the regulated industry, there are zero small businesses potentially subject to the proposed regulation.

Effective Date Used In Cost Estimate: April 2013

Yes No *Note: For each question, please answer 'yes" or "no" and offer a brief explanation. Please describe any facts, data, views, arguments, or other input from small businesses, organizations or any other sources tluu were used to quantify tile impacts outlined below.

Yes No Will small businesses have to create, file, or issue additional reports? D rgJ

Yes No Will small businesses have to implement additional record keeping procedures?

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. 0 ~

Yes No Will small businesses have to provide additional administrative oversight? 0 ~

Yes No Will small businesses have to hire additional employees in order to comply with the 0 ~ proposed regulation?

Yes No Does compliance with the regulation require small businesses to hire other professionals 0 ~ (e.g. a lawyer, accountant, engineer, etc.)?

Yes No Does the regulation require small businesses to purchase a product or make any other 0 ~ capital investments in order to comply with the regulation?

Yes No Are performance standards more appropriate than design standards? 0 ~

Yes No Does the regulation require small businesses to cooperate with audits, inspections, or 0 ~ other regulatory enforcement activities?

Yes No Will the regulation have the effect of creating additional taxes and/or fees for small 0 ~ businesses?

Yes No Does the regulation require small businesses to provide educational services to keep up to 0 ~ date with regulatory requirements?

Yes No Is the regulation likely to deter the formation of small businesses in Massachusetts? 0 ~

Yes No Is the regulation likely to encourage the formation of small businesses in Massachusetts? 0 ~

Yes No Can the regulation provide for less stringent compliance or reporting requirements for 0 ~ small businesses?

Yes No Can the regulation establish less stringent schedules or deadlines for compliance or 0 ~ reporting requirements for small businesses?

Yes No Can the compliance or reporting requirements be consolidated or simplified for small 0 ~ businesses?

Yes No Can performance standards for small businesses replace design or operational standards? 0 ~

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. Yes No Are there alternative regulatory methods that would minimize the adverse impact on 0 ~ small businesses?

Yes No Were any small businesses or small business organizations contacted during the 0 ~ preparation of this document? If so, please describe.

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. rtlie (xmunonweahh. of iMassachuseus Executive Office of Pu6fic safety and Security Department of Correction Lega( Diuision 70 Prankfin St., Suite 600 Deval L. Patrick Luis S. Spencer Governor Boston, iMassachusetis 02110-1327 Commissioner rre(;(617-727-3300 CE~. 124) Katherine A. Chmiel Paul L. DiPaolo Andrea J. Cabral urunu.mass.qou/doc Secretary Deputy Commissioners Thomas E. Dickhaut Acting Deputy Commissioner

COMMONWEALTH OF MASSACHUSETTS Nancy Ankers White General Counsel DEPARTMENT OF CORRECTION

NOTICE OF PUBLIC HEARING ON PROPOSED AMENDMENTS TO THE FOLLOWING REGULATION:

COUNTY CORRECTIONAL FACILITIES- SECURITY & CONTROL, 103 CMR 924.00; -0 Pursuant to the provisions of G.L. c. 30A, § 2, notice is:E hereby given of the proposed amendments to the following ~ regulation: ~en

103 CMR 924.00, County Correctional Facilities- Security & Control. The proposed changes limit the use of restraints on pregnant and post-partum inmates, while those inmates are in transit or receiving medical attention.

The Department of Correction shall hold a public hearing on the proposed amendments to the regulation at 10:00 AM, Tuesday, April 22, 2014, at the McCormack Building, One Ashburton Place, 21st floor, Conference Room 2, Boston, MA.

At such time and place, all interested parties shall be afforded an opportunity to orally present data, views or arguments relative to the proposed actions. Written presentations may be made at the hearing or at any time prior to April 22, 2014, by directing the same to Department of Correction, Legal Division, 70 Franklin Street, Suite 600, Boston, MA 02110. Attn: Tabitha M. Schneider, Regulations Counsel.

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm.------SMALL BUSINESS IMPACT STATEMENT

In order to accurately predict the impact the adoption, amendment, or repeal of a regulation will have on small businesses, the promulgating authority must conduct a thorough analysis that not only considers the potential effects of the action but also quantifies the costs, if any, associated with each. The questions below designed to aid promulgating authorities in conducting their analysis.

Agency Submitting Regulation: Department of Correction

Subject Matter of Regulation: County Correctional Facilities- Security and Control

Regulation No: 103 CMR 924

Statutory Authority: M.G.L. c. 124, § (1) (c), (d) and (q); 127 §§ lA and IB

Other Agencies Affected: The only agencies and business(es) that would be affected by the regulation is the County Correctional Facilities.

Other Regulations That May Duplicate or Conflict with the Regulation: None

Describe the Scope and Objectives of the Regulation: The regulation establishes rules and regulations to maintain physical security at the county correctional facilities. The posed changes limit the use of restraints on pregnant and post-pactum inmates, while those inmates are in transit or receiving medical attention.

Business Industrv(ies) Affected by the Regulation: The only businesses that would be affected by the regulation is the County Correctional Facilities.

Types of Businesses Included in the Industry(ies): N/ A

Total Number of Small Businesses Included in the Regulated Industry(ies): Zero (0)

Number of Small Businesses Potentially Subjected to the Proposed Regulation: Zero (0)

Effective Date Used in Cost Estimate: March 27, 2014

Yes No *Note: For each question, please answer 'yes" or "no" and offer a brief explanation. Please describe any facts, data, views, arguments, or other input from small businesses, organizations or any other sources that were used to quantify the impacts outlined below.

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. Will small businesses have to create, file, or issue additional reports? X Not applicable. The only business(es) that would be affected by the regulation is the County Correctional Facilities. Will small businesses have to implement additional recordkeeping procedures? X Not applicable. The only business(es) that would be affected by the regulation is the County Correctional Facilities. Will small businesses have to provide additional administrative oversight? X Not applicable. The only business(es) that would be affected by the regulation is the County Correctional Facilities. Will small businesses have to hire additional employees in order to comply with the proposed regulation? X Not applicable. The only business(es) that would be affected by the regulation is the County Correctional Facilities. Does compliance with the regulation require small businesses to hire other professionals (e.g, a lawyer, accountant, engineer, etc.)? X Not applicable. The only business(es) that would be affected by the regulation is the County Correctional Facilities. Does compliance with the regulation require small businesses to purchase a product or make any other capital investments in order to comply with the regulation? X Not applicable. The only business(es) that would be affected by the regulation is the County Correctional Facilities. Are performance standards more appropriate than design standards? X Not applicable. The only business(es) that would be affected by the regulation is the County Correctional Facilities. Does the regulation require small businesses to cooperate with audits, inspections, or other regulatory enforcement activities? X Not applicable. The only business(es) that would be affected by the regulation is the County Correctional Facilities. Will the regulation have the effect of creating additional taxes and/or fees for small businesses? X Not applicable. The only business(es) that would be affected by the

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. regulation is the County Correctional Facilities. Does the regulation require small businesses to provide educational services to keep up to date with regulatory requirements? X Not applicable. The only business(es) that would be affected by the regulation is the County Correctional Facilities. Is the regulation likely to deter the formation of small businesses in Massach usetts? X Not applicable. The only business(es) that would be affected by the regulation is the County Correctional Facilities. Is the regulation likely to encourage the formation of small businesses in Massachusetts? X Not applicable. The only business(es) that would be affected by the regulation is the County Correctional Facilities. Can the regulation provide for less stringent compliance or reporting requirements for small business? X Not applicable. The only business(es) that would be affected by the regulation is the County Correctional Facilities. Can the regulation establish less stringent schedules or deadlines for compliance or reporting requirements for small businesses? X Not applicable. The only business(es) that would be affected by the regulation is the County Correctional Facilities. Can the compliance or reporting requirements be consolidated or simplified for small businesses? X Not applicable. The only business(es) that would be affected by the regulation is the County Correctional Facilities. Can performance standards for small businesses replace design or operational standards? X Not applicable. The only business(es) that would be affected by the regulation is the County Correctional Facilities. Are there alternative regulatory methods that would minimize the adverse impact on small businesses? X Not applicable. The only business(es) that would be affected by the regulation is the County Correctional Facilities. Were any small businesses or small business organizations contacted during the preparation of this document? If so, please X describe.

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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 Massadtusetts 600 Washington Street Executive Office of Health Boston, MA 02111 and Human Seroices

Deval L Patrick Governor Massachusetts Commission (617) 740-1600 Voice Timothy P. Murray (617) 326-7546 VP Lieutenant Governor for the (617) 740-1700 TIY . John Polanowicz, (800) 882-1155 Voice MD. Secretary Deaf and Hard of Hearing (800) 530-7570 TTY Heici L. Reed (617) 740-1810 Fax Commissioner http://www.mass.gov/mcdhh

NOTICE OF PUBLIC HEARING and PUBLIC COMMENT PERIOD

PUBLIC HEARING

In accordance with Massachusetts General Laws, Chapter 6, Section 75. and 78, the Massachusetts Commission for the Deaf and Hard of Hearing will hold one public hearing to consider proposed amendments to the regulation covering Interpreter Services for the Deaf and Hard of Hearing (112 CMR 3.00 - 3.06: Interpreter Services for the Deaf and Hard of Hearing: Procedures and Structures for the Provision of Interpreters for the Deaf and Hard of Hearing by State Agencies).

SCHEDULED HEARING DATE Saturday, May 3, 2014 10:00 am to 12:00 noon

LOCATION College of the Holy Cross Hogan Campus Center Room 304 (Near Parking Lot A on Upper Campus Road) 1 College Street Worcester, MA 01610

Sign language interpreters and CART will be provided. Please contact Terry Walsh at the address below to request other auxiliary aids or services.

INFORMATION

Copies of the proposed regulation change will be available at the hearing or may be obtained in advance by writing to:

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. Teresa Walsh, Policy and Planning Director Massachusetts Rehabilitation Commission 600 Washington Street, 2nd floor Boston, MA 02111-1704 . [email protected] (617) 204-3708 (voice)

PUBLIC COMMENT PERIOD

The Commission will accept written comments on these proposed changes submitted on or before May 6, 2014. Written comments should be addressed to Teresa Walsh, Policy and Planning Director, at the above address.

SUBJECT MATTER

112 CMR 3.00 - 3.06: Interpreter Services for the Deaf and Hard of Hearing: Procedures and Structures for the Provision of Interpreters for the Deaf and Hard of Hearing by State Agencies. MCDHH now uses a Limited User Departmental Contract instead of a Statewide Contract as the contract vehicle for freelance interpreters, and the interpreter rates would be published in the Contract instead of in the regulation. Several other changes are also being proposed in an effort to make this effort more long-lived, such as eliminating specific names of constituent organizations and clarifying that MCDHH would solicit input from representatives of organizations or associations of deaf and hard of hearing persons in the Commonwealth.

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. REGULATORY REVIEW & REEVALUATION SMALL BUSINESS IMPACT STATEMENT

MGL c. 30A, § 5A requires state agencies to produce a small business impact statement for existing regulations that are 12years old or older in order to evaluate whether the regulation continues to be necessary and to consider the economic impacts of that regulation on small businesses.

Agency Submitting Regulation Massachusetts Commission for the Deaf and Hard of Hearing

Regulation No. 112 CMR3.00

Statutory Authority M.G.L. c.6, sections 194 and 196

Scope & Objective of the Regulation The purpose of the regulation is to establish centralized structures (include a description of the and procedures to facilitate the provision and purchase of services circumstances that prompted the of interpreters for Deaf and Hard of Hearing by State Agencies. regulation) Industry(ies) & Business Types Interpreters whose services are contracted through the Statewide Affected.by the Regulation Master service Agreement and who provide services directly to or on behalf of a state agency or by a local business. Businesses that may be affected could include legal offices,hospitals, medical offices and others.

Estimated Number ofMA Contracted interpreters Businesses included in the Regulated Industry(ies) Estimated Number ofMA Small Compliance with the regulation is mandatory for state agencies Businesses Subject to the within the Executive Office. Small businesses would not be subject Regulation to this regulation but may choose to comply with it voluntarily.

Effective Date of Original 7/11/02 Regulation Last Time the. Regulation was 3/14/2014 Reviewed Date of Most Recent Amendment or Regulation has not been amended. Modification Today's Date 3/14/2014

To accurately predict the business impact of the regulation, the promulgating authority must conduct a thorough analysis that not only considers the effectiveness of the regulation but alternative means by which to manage the issue. The questions below are designed to aid promulgating authorities in conducting their analysis. Please answer yes or no, and provide a brief explanation in the boxes provided below.

1. Is this regulation statutorily mandated?

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. Yes No 2. Has the agency received complaints about this regulation from the public? If so, how 0 [gI many and what are the nature of the complaints?

Yes No 3. Does this regulation overlap, duplicate or conflict with other federal, state or local 0 [gI governmental rules and regulations? If yes, please explain.

Yes No 4. Has technology, economic conditions or other factors changed in the subject areas [gI 0 affected by the regulation? If yes, please explain.

Yes No 5. Does the regulation create additional taxes and/or fees for small businesses? If so, are 0 [gI those taxes or fees directed to retained revenue accounts, General Fund or other? Please describe.

Yes No 6. Does the regulation require small businesses to undergo continuing education or provide 0 [gI educational services for employees to remain in compliance with regulatory requirements? If yes, please explain.

Yes No 7. Can the regulation meet its intended purpose with fewer or simplified administrative or 0 [gI reporting requirements? If yes, please explain.

Yes No 8. Are there alternative regulatory methods such as performance standards that would 0 [gI minimize impacts on small businesses? If yes, please explain.

Yes No 9. Do model rules or regulations exist to standardize our state's practices with those in 0 [gI place elsewhere in the country? If yes, please explain.

Yes No 10. Should this regulation be amended or rescinded? Please explain. [gI 0 The regulation should be amended to improve organization, readability and to better reflect current rates for interpreter services and rates of reimbursement for travel.

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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 Energy and Environmental Affairs Department of Environmental Protection

NOTICE

Notice is hereby given that the Executive Office of Energy and Environmental Affairs and Department of Environmental Protection (MassDEP), acting in accordance with the provisions of M.G.L. Chapter 21A, §18 and M.G.L. Chapter 21E § 3B will hold public hearings on proposed amendments to 310 CMR 4.00, Timely Action Schedule and Fee Provisions.

The proposed amendments add or delete permit fee categories; adjust permit review schedules and fee rates; clarify the applicability of fee categories; update or correct citations to provide statutory and regulatory consistency; and, delete expired fee categories or text for environmental programs for Air Quality, Hazardous Waste, Solid Waste, Water Supply, Watershed Management, Water Pollution Control, Wetlands and Waterways, and Waste Site Cleanup.

Public Hearings will be conducted under the provisions of Chapter 30A of the Massachusetts General Laws on:

Tuesday, April 22, 2014 -- Lakeville - 10:00 a.m. MassDEP Southeast Regional Office, 20 Riverside Drive, (508) 946-2700

Wednesday, April 23, 2014 -- Boston - 10:00 a.m. MassDEP Headquarters, One Winter Street, (617) 292-5500

Wednesday, April 23, 2014 -- Springfield - 2:00 p.m. MassDEP Western Regional Office, 436 Dwight Street, (413) 784-1100

Testimony may be presented orally or in writing at the public hearings. In addition, written comments will be accepted at the address below until 5:00 p.m. on Monday, May 5, 2014. Please submit three copies of any written comments to: Jay Eberle, 3rd Floor, Department of Environmental Protection, One Winter Street, Boston, MA 02108.

Please call Jay Eberle at (617) 556-1067 if you have questions concerning the public hearings or would like to request a copy of background documents on the proposed regulations. Copies of the regulations and background documents are also available on the MassDEP website at: http://www.mass.gov/eea/agencies/massdep/service/regulations/proposed-and-recentIy- promulgated-regulations-.html

This information is available in alternate format upon request to Michelle Waters-Ekanem, Diversity & Outreach Director at (617) 292-5751 or TDD# 1-866-539-7622 or 1-617-574-6868.

For special accommodations for this event, contact Jay Eberle at (617) 556-1067/0ne Winter Street, 3rd Floor, Boston, MA 02108.

By Order of the Department David yv ..Cash 9S:t WeI LZ M~W~t9Z Commissioner HOISII\ 0 S?·iOil'\lln93~ \0-11 c' .:In r ~·.rv'14\1J3S 31\t. ...L~ •....l.\'-.I \; •...0•

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. SMALL BUSINESS IMPACT STATEMENT

In order to accurately predict the impact the adoption, amendment, or repeal of a regulation will have on small businesses, the promulgating authority must conduct a thorough analysis that not only considers the potential effects of the action but also quantifies the costs, if any, associated with each. The questions below are designed to aid promulgating authorities in conducting their analysis.

Agency Submitting Regulation: Department of Environmental Protection

Subject Matter of Regulation: Permit and annual compliance fee rates and timely action schedules for permit review.

Regulation No: 310 CMR 4.00

Statutory Authority: M.G.L. c. 21A, § 18 and M.G.L. c. 21E, 3B

Other Agencies Affected: State agencies that pay permit fees with rates over $100.00

Other Regulations That May Duplicate or Contlict with the Regulation: None.

Describe the Scope and Objectives of the Regulation: The regulations establish annual compliance fees, permit application fees, and schedules for timely action on the review of permit applications. These fees partially offset the costs of permit review and associated compliance and enforcement costs.

Business Industry(ies) Affected by the Regulation: Over 8,000 entities from a range of industries pay annual compliance fees and over 2,500 entities from a range of industries pay permit fees each year.

Types of Businesses Included in the Industry(ies): Sole proprietorships, partnerships, corporations, limited liability companies, limited liability partnerships, institutions, as well as individuals and municipalities.

Total Number of Small Businesses Included in the Regulated lndustry(ies) Please see the attached guidance documents for assistance determining the total number of small businesses: The U.S. Small Business Administration's Massachusetts State profile for 2010 indicates that 97.8% of the Commonwealth's employers are small businesses. Given that the overwhelming majority of businesses in the Commonwealth are small businesses and the broad applicability of DEP fees across industry sectors, the Department assumes that the number of small businesses included is in proportion to their overall percentage of the Commonwealth's employers in the various industrial sectors.

Number of Small Businesses Potentially Subject to the Proposed Regulation: Given that the overwhelming majority of businesses in the Commonwealth are small businesses, and the broad applicability of MassDEP fees, MassDEP assumes that small businesses represent a large percentage of entities subject to these fees.

Effective Date Used In Cost Estimate: August 8, 2013

Yes No "Note: For each question, please answer 'yes" or "no" and offer a brief explanation. Please describe any facts, data, views, arguments, or other input from small businesses, organizations or any other sources that were used to quantify the impacts outlined below.

0 ~ Will small businesses have to create, file, or issue additional reports?

These regulatory changes affect existing permit and compliance fees and do not require the

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. creation of additional reports.

Yes No Will small businesses have to implement additional recordkeeping procedures?

0 ~ These regulatory changes affect existing permit and compliance fees and will not require additional recordkeeping procedures.

Yes No Will small businesses have to provide additional administrative oversight?

0 ~ These regulatory changes affect existing permit and compliance fees and will not require additional administrative oversight.

Yes No Will small businesses have to hire additional employees in order to comply with the proposed regulation? These regulatory changes affect existing permit and compliance fees 0 ~ and will not require the hiring of additional employees.

Yes No Does compliance with the regulation require small businesses to hire other professionals (e.g. a lawyer, accountant, engineer, etc.)? These regulatory changes affect existing permit 0 ~ and compliance fees and will not require the hiring of other professionals.

) Yes No Does the regulation require small businesses to purchase a product or make any other capital investments in order to comply with the regulation? These regulatory changes affect D ~ existing permit and compliance fees and do not require the purchase of a product or any other capital investment.

Yes No Are performance standards more appropriate than design standards? These regulatory changes affect existing permit and compliance fees and do not address performance or design 0 ~ standards.

Yes No Does the regulation require small businesses to cooperate with audits, inspections, or other regulatory enforcement activities? These regulatory changes affect existing permit and D ~ compliance fees and do not subject a small business to any additional audits, inspections, or any other regulatory enforcement activities.

Yes No Will the regulation have the effect of creating additional taxes and/or fees for small businesses? The proposed regulation amendments add new fee categories, delete current fee ~ 0 categories no longer supported in program regulations, and raise or lower fees rates to reflect changes in the level of service provided.

Yes No Does the regulation require small businesses to provide educational services to keep up to date with regulatory requirements? These regulatory changes affect existing permit and D ~ compliance fees and will not require any additional educational services.

Yes No Is the regulation likely to deter the formation of small businesses in Massachusetts?

0 ~ These regulatory changes affect existing permit and compliance fees and are not likely to deter the formation of small businesses.

Yes No Is the regulation likely to encourage the formation of small businesses in Massachusetts?

0 ~ These regulatory changes affect existing permit and compliance fees and are not likely to affect the formation of small businesses.

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. Yes No Can the regulation provide for less stringent compliance or reporting requirements for small businesses? These regulatory changes do not impose reporting requirements. 0 ~

Yes No Can the regulation establish less stringent schedules or deadlines for compliance or reporting requirements for small businesses? These regulatory changes do not impose 0 ~ reporting requirements.

Yes No Can the compliance or reporting requirements be consolidated or simplified for small businesses? These regulatory changes do not impose reporting requirements. 0 ~

Yes No Can performance standards for small businesses replace design or operational standards?

0 ~ These regulatory changes do not address performance, design, or operational standards.

Yes No Are there alternative regulatory methods that would minimize the adverse impact on small businesses? The proposed amendments support changes in other program regulations 0 ~ and set permit review schedules and fee rates to reflect the level of service provided.

Yes No Were any small businesses or small business organizations contacted during the preparation of this document? If so, please describe. Changes to the Fee Regulations are 0 ~ reviewed by members of the Commissioner's Program Improvements and Fees Advisory Committee and other organizations or agencies which represent a variety of viewpoints. Upon approval of these draft regulations, MassDEP will begin outreach to the Advisory Committee and interested stakeholders.

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. Commonwealth of Massachusetts Executive Office of Energy & Environmental Affairs Department of Environmental Protection One Winter Street Boston, MA 02108·617-292-5500

OcVAc. L PATRICK rilCHARO K. SULLIVAN JR. Governor Secretary

KENNCTH L. KIMMELL Commissioner

Public Notice

Pursuant to M.G.L. c. 30A, the MA Department of Environmental Protection (MassDEP) gives notice of its intent to amend the Water Resources Management Program Regulations (310 CRM 36.00) promulgated under the Massachusetts Water Management Act ( M.G.L. c. 21G). The proposed regulations and draft permitting guidance are available from the MassDEP website at: www.mass.gov/eea/agencies/massdep/news/comment.

Summary Water Resources Management Program regulations establish enforceable standards, criteria and procedures (including permit procedures) to implement the Water Management Act (WMA) in order to comprehensively manage water withdrawals through the Commonwealth to ensure an appropriate balance among cometing water needs and the preservation of water resources. Water withdrawers typically requiring a WMA permit include public water suppliers, 18-hole golf courses, cranberry growers, ski areas, sand and gravel facilities, fish hatcheries, and agricultural and industrial users. WMA permitting requirements apply to approximately 190 public water supply systems and an additional 140 other users with permits.

The proposed revisions to the WMA regulations incorporate a new methodology for calculating "safe yield" and the concept of "streamflow criteria" as developed through the multiyear Executive Office of Energy and Environmental Affairs (EEA) stakeholder process known as the Sustainable Water Management Initiative (SWMI). SWMI was started in 2010 by EEA for the purpose of incorporating the best available science into the management of the Commonwealth's water resources and involved a wide range of stakeholders and support from EEA, the Department of Environmental Protection, the Department of Fish and Game, and the Department of Conservation and Recreation.

The draft regulations reflect a carefully developed balance to protect the health of our waterbodies while meeting the needs of businesses and communities for water. The regulatory package also clarifies WMA permitting requirements and processes.

The proposed amendments incorporate the following SWMI-related elements: • Safe Yield: A new methodology for calculating the amount of water that can be withdrawn from a basin. (310 CMR 36.13) • Baseline: The volume of water against which MassDEP will measure a permit renewal applicant's requested volume. • Streamflow Criteria: Permitting criteria that protect the ecological uses of waterways by specifying flow alteration goals and corresponding mitigation requirements when water withdrawals conflict with these goals. (310 CMR 36.14,36.19,36.20 and 36.22)

This information is available in alternate format. Call Michelle Waters-Ekanem, Diversity Director, at 617-292-5751. TDD# 1-866-539-7622 or 1-617-574-6868 MassDEP Website: www.mass.gov/dep

Printed on Recycled Paper

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. • Permit Review Categories: Permit review categories, or "tiers," determine the requirements for obtaining a WMA permit. Applicants seeking an increased withdrawal over their Baseline will generally be required to mitigate the volume of their increase, and applicants seeking to withdraw in an impaired basin will generally be required to minimize the impact of their withdrawal. (310 CMR 36.19, 36.21, 36.22 and 36.28(3)(f)) • Coldwater Fish Resources: Waters that support a population of coldwater aquatic life. Applicants whose withdrawals will impact a coldwater fish resource must submit a plan to minimize that impact. (310 CMR 36.03, 36.21(3)and (4), 36.22 and 36.28 (3)(f))

In addition to regulatory amendments incorporating the key elements of SWMI, MassDEP is also proposing amendments to: • Delete regulations pertaining only to the first round of registrations that are now outdated (formerly 310 CMR 36.07); • Incorporate the substantive provisions of existing policies that exempt certain withdrawals from regulation (310 CMR 36.05); • Update the provisions for modification or transfer of registrations (310 CMR 36.08 and 36.09); • Include regulations for water supply emergencies (310 CMR 36.41 through 36.43); • Incorporate the substantive provisions of existing policy on replacement wells (310 CMR 36.03, 36.08(1)); • Update basin expiration dates (310 CMR 36.17).

Public Comments and Hearings DEPwill give public presentations on SWMI and related changes to the WMA permit process and conduct public hearings on the proposed changes at the following locations and times. Comments on all proposed revisions may be presented orally or in writing at the public hearings. Written comments will also be accepted until 5:00 p.m. on Tuesday, June 10, 2014 and may be submitted electronically via email [email protected] or by direct mail to: Massachusetts Department of Environmental Protection Bureau of Resource Protection - Water Management Regulatory Comment Box One Winter Street, s" floor Attention: Elizabeth McCann Boston, MA 02108

Public hearing dates and locations Thursday, May 1, 2014 Monday, May 5, 2014 Wednesday, May 7, 2014 Time: presentation 10:00 - 11:30 Time: presentation 10:00 - 11:30 Time: presentation 10:00 -11:30 public hearing 12:00 - 2:00 public hearing 12:00 - 2:00 public hearing 12:00 - 2:00 MassDEP Southeast Regional Office MassDEP Boston Office MassDEP Central Regional Office 20 Riverside Drive 2nd Floor Conference Rooms 627 Main Street Lakeville, MA 02347 One Winter Street Worcester, MA 01608 Boston, MA 02108

Thursday, May 8, 2014 Monday, May 12, 2014 Wednesday, May 14, 2014 Time: presentation 10:00 - 11:30 Time: presentation 10:00 - 11:30 Time: presentation 10:00 - 11:30 public hearing 12:00 - 2:00 public hearing 12:00 - 2:00 public hearing 12:00 - 2:00 MassDEP Western Regional Office Barnstable Country Department Wilmington Town Hall, Room 9 436 Dwight Street, 2nd Floor of Health and Environment 121 Glen Road Springfield, MA 01103 Old Harbor Conference Room Wilmington, MA 01887 3195 Main Street Barnstable, MA 02630

For questions about the public hearings, please contact Beth McCann at [email protected] or 617- 292-5901.

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. SMALL BUSINESS IMPACT STATEMENT

In order to accurately predict the impact the adoption, amendment, or repeal of a regulation will have on small businesses, the promulgating authority must conduct a thorough analysis that not only considers the potential effects of the action but also quantifies the costs, if any, associated with each. The questions below are designed to aid promulgating authorities in conducting their analysis.

Agency Submitting Regulation: Department of Environmental Protection (MassDEP)

Subject Matter of Regulation: Water Management Act Permit Program

Regulation No: 310 CMR 36.00

Statutory Authority: Massachusetts Water Management Act, M.G.L. c. 21 G

Other Agencies Affected: • Department ofFish and Game and the Department of Conservation and Recreation will have expanded roles in consulting on potential environmental impacts of proposed water withdrawals under the proposed regulations. • Any agency needing a permit to withdraw more that 100,000 gallons per day from ground or surface waters.

Other Regulations That May Duplicate or Contlict with the Regulation: None

Describe the Scope and Objectives of the Regulation:

The regulations establish enforceable standards, criteria and procedures to comprehensively manage water withdrawals subject to the WMA throughout the Commonwealth to ensure an appropriate balance among competing water needs and the preservation ofthe water resource. The regulations incorporate the following provisions that may impact small business: • Safe Yield: A new methodology for calculating the amount of water that can be withdrawn from a basin. (310 CMR 36.13) • Streamflow Criteria: Permitting criteria that protect the ecological uses of waterways by specifying flow alteration goals and corresponding mitigation requirements when water withdrawals conflict with these . goals. (310 CMR 36.14, 36.19, 36.20 and 36.22) • Permit Review Categories: Permit review categories, or "tiers," describe the requirements for obtaining a WMA permit. Applicants seeking an increased withdrawal will generally be required to mitigate the volume of their increase, and applicants seeking to withdraw in an impaired basin will generally be required to minimize the impact of their withdrawal. (310 CMR 36.19,36.21,36.22 and 36.28(f) • Coldwater Fish Resources: Waters that support a population of coldwater aquatic life. Applicants whose withdrawals will impact a coldwater fish resource must submit a plan to minimize that impact. (310 CMR 36.02, 36.21(3)and (4),36.22 and 36.28 (3)(f))

Secondarily, the regulations include the following amendments that may affect small business: • Incorporate the substantive provisions of existing policies that better define when water withdrawals for cranberry cultivation and golf course irrigation require a permit. (310 CMR 36.06) • Update the provisions for modification or transfer of registrations for cranberry cultivation. (310 CMR 36.08 and 36.09) • Include regulations for water supply emergencies. (310 CMR 36.41 through 36.43)

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. Business Industry(ies) Affected by the Regulation:

Businesses and industries in Massachusetts typically regulated by the Water Management Act include cranberry growers with more than 4.33 acres in production (9.66 acres in production for growers who implement modern design and performance standards), garden centers and nurseries, sand and gravel mining operations, 18-hole golf courses (9-hole golf courses typically use less than 100,000 gallons per day during the irrigation season), ski facilities with snow-making operations and fish hatcheries.

Many individual small businesses that use 100,000 gallons per day or more have water provided by a municipal water supply system and so are not regulated by the Act. In addition, many small businesses that are subject to the WMA withdraw water pursuant to a registration, not a permit. MassDEP is not proposing any significant amendments to the regulations regarding registrations.

Types of Businesses Included in the Industry(ies):

Cranberry growers, garden centers and nurseries, sand and gavel mining operation, 18-hole golf courses, ski- facilities and fish hatcheries.

Total Number of Small Businesses Included in the Regulated Industry(ies) Please see the attached guidance documents for assistance determining the total number of small businesses:

Cranberry growers 42 currently permitted Golf courses 60 currently permitted Small industrial users 18 currently permitted Ski facilities, nurseries and fish hatcheries 12 currently permitted

Number of Small Businesses Potentially Subject to the Proposed Regulation:

Same as the above numbers of currently permitted entities. Most small businesses will be exempt from WMA permitting because they are supplied by a public water supplier or do not exceed the permitting threshold of 100,00 gallons of water per day.

Effective Date Used In Cost Estimate:

Yes No *Note: For each question, please answer 'yes" or "no" and offer a brief explanation. Please describe any facts, data, views, arguments, or other input from small businesses, organizations or any other sources that were used to quantify the impacts outlined below.

Yes No Will small businesses have to create, file, or issue additional reports? ~ D For current permittees, additional plans and reports might be required as part of the permit application process depending on the volume of the requested water withdrawal and environmental conditions within the watershed. MassDEP believes this will be an infrequent requirement for small businesses.

Yes No Will small businesses have to implement additional record keeping procedures? ~ D For permittees, additional recordkeeping might be required as a condition of the permit depending on the size of the requested water withdrawal and environmental conditions within the watershed. MassDEP believes this will be an infrequent requirement for small businesses.

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. Yes No Will small businesses have to provide additional administrative oversight? t:8J 0 For permittees, additional administrative oversight might be required to implement permit conditions required to minimize or mitigate the impact of the water withdrawal depending on the size of the requested water withdrawal and environmental conditions within the watershed. MassDEP believes this will be an infrequent requirement for small businesses.

Yes No Will small businesses have to hire additional employees in order to comply with the 0 t:8J proposed regulation? No.

Yes No Does compliance with the regulation require small businesses to hire other professionals [8J 0 (e.g., a lawyer, accountant, engineer, etc.)? In some circumstances, depending on the size of the requested water withdrawal and environmental conditions within the watershed, small businesses might need to hire professionals to design or implement mitigation projects required as a condition of the WMA permit to offset impacts to streamflows. MassDEP believes this will be an infrequent requirement for small businesses.

Yes No Does the regulation require small businesses to purchase a product or make any other t:8J 0 capital investments in order to comply with the regulation? In some circumstances, depending on the size of the requested water withdrawal and environmental conditions within the watershed, small businesses might need to make capital investments to implement mitigation projects required as a conditions of the WMA permit to offset impacts to streamflows. MassDEP believes this will be an infrequent requirement for small businesses.

Yes No Are performance standards more appropriate than design standards? t:8J 0 Whenever appropriate, MassDEP has developed performance standards for permittees in place of design standards. MassDEP has collaborated with the Cranberry Growers Association to develop performance and design standards that reduce water use and reduce the regulatory burden for cranberry growers. MassDEP continues to collaborate with the landscaping and golf course industries to develop performance and design standards that reduce water use and minimize any regulatory burden for those businesses. Whenever possible, MassDEP includes Best Management Practices for specific industries, such as cranberry growers, landscape facilities and golf courses, as the first step to take in order to reduce water use and comply with permit conditions.

Yes No Does the regulation require small businesses to cooperate with audits, inspections, or other t:8J 0 regulatory enforcement activities? Water Management permits have always required this, and these regulations will continue to include these requirements.

Yes No Will the regulation have the effect of creating additional taxes and/or fees for small 0 t:8J businesses? No, there will be no increase in taxes, permit application fees or annual compliance fees for small businesses associated with these regulations.

Yes No Does the regulation require small businesses to provide educational services to keep up to 0 t:8J date with regulatory requirements? No. The regulations do not include requirements for education applicable to small businesses.

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. Yes No Is the regulation likely to deter the formation of small businesses in Massachusetts? 0 [gI No. The proposed changes are unlikely to affect the formation of new small businesses. Most small businesses remain exempt from permitting because they are connected to a public water supply system, or their water withdrawals are below the 100,000 gallon per day regulatory threshold.

Yes No Is the regulation likely to encourage the formation of small businesses in Massachusetts? 0 [gI No. The proposed changes are unlikely to affect the formation of new small businesses.

Yes No Can the regulation provide for less stringent compliance or reporting requirements for [gI 0 small businesses? The regulatory changes cannot provide for less stringent compliance requirements for small businesses. MassDEP has worked with the Cape Cod Cranberry Growers Association to simplify annual reporting requirements for cranberry growers and will work with landscaping and golf courses associations to develop simplified reporting requirements. MassDEP continues to develop an electronic reporting system that will give small businesses the option of electronic reporting.

Yes No Can the regulation establish less stringent schedules or deadlines for compliance or 0 [gI reporting requirements for small businesses? Requirements to mitigate impacts to streamflows will be required over the life of the 20-year permit. Mitigation must proceed in tandem with increases in withdrawals. Permittees that reduce water withdrawals through conservation will have less stringent requirements to mitigate the impact of their permitted withdrawals.

Yes No Can the compliance or reporting requirements be consolidated or simplified for small [gI 0 businesses? Changes to simplify reporting requirements (through simplified forms and electronic reporting options) for small businesses are under consideration or under development.

Yes No Can performance standards for small businesses replace design or operational standards? 0 [gI MassDEP continues to work with industry groups to incorporate performance standards into WMA permitting requirements. However, performance standards for small businesses are not directly incorporated into these regulations.

Yes No Are there alternative regulatory methods that would minimize the adverse impact on [gI 0 small businesses? Permits will continue to require water conservation as the preferred means to protect environmental resources. Small businesses that reduce their need for increasing water withdrawals will be subject to less stringent requirements to mitigate impacts on streamflows.

Yes No Were any small businesses or small business organizations contacted during the [gI 0 preparation of this document? If so, please describe. EEA agencies have participated in numerous informal stakeholder discussions on key elements of SWMI and the proposed regulation revisions and given formal presentations for Massachusetts Municipal Association, MCLE - Environmental and Land Use Law Annual Conference, the Irrigation Association of New England, Massachusetts Associations of Conservation Commissions, Citizen Planner Training Collaborative, MA Environmental Business Council, American Council of Engineering Companies - MA Division, New England Water and Environment Association, the Massachusetts Nursery and Landscape Association, the Massachusetts Flower Growers' Association, and the Cape Cod Cranberry Growers Association.

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 Commonuiealih. of Massachusetts Executive Office of Health and Human Services One Ashburton Place, Room 1109 Boston, MA 02108

Tel.: 617-573-1600 DEVAL 1. PATRICK Fax: 617-573-1890 Governor www.mass.govjeohhs

JOHN W. POLANOWICZ NOTICE OF PUBLIC HEARING Secretary 114.3 CMR 6.00 Pursuant to the provisions of M.G.L. c.118E and in accordance with M.G.L. c. 30A, the Executive Office of Health and Human Services (EOHHS) will hold a public hearing on Monday, May 5, 2014 at 10:00 a.m. at the Center for Health Information and Analysis, Two Boylston Street, 5th floor, Boston, MA 02116 relative to the emergency adoption of:

101 CMR 306.00: Rates of Payment for Mental Health Services Provided in Community Health Centers and Mental Health Centers

and the emergency repeal of:

114.3 CMR 6.00: Rates of Payment for Mental Health Services Provided in Community Health Centers and Mental Health Centers

These actions are being taken in order to comply with c. 224 of the Acts of 2012, which transferred authority for this regulation from the Division of Health Care Finance and Policy in M.G.L. c. 118G to the Executive Office of Health and Human Services (EOHHS) in M.G.L. c. 118E. 101 CMR 306.00 replaces 114.3 CMR 6.00 as the regulation governing payment rates for outpatient mental health services provided by mental health centers and community health centers, and contains amendments as well. It is being adopted on an emergency basis, and applies to dates of service beginning January 1, 2014, in order to comply with St. 2013, c. 118, § 32, which requires the rates to be effective January 1, 2014.

These amendments are being adopted to implement the requirements of St. 2013, c.118, §32, which requires MassHealth to implement Current Procedural Terminology (CPT) evaluation and management (ElM) codes for behavioral health services and to pay the medicallsurgical rate for such covered codes. It also requires updates of community mental health center rates, which includes rates for behavioral health services in community health centers, effective January 1, 2014. The new rates for family therapy (90847), multiple family group therapy (90849), group therapy (90853), and a medical management code (90882) formerly referred to as case consultation are established on a 'per visit' basis, rather than on a "per % hour" basis, in order to implement the "one unit" limit applicable to those codes due to the federal National Correct Coding Initiative (NCCI). In addition, the regulations reflect updates to code descriptions.

The emergency adoption of 101 CMR 306.00 to replace 114.3 CMR 6.00 will increase the payment rates for non-ElM services provided on and after January 1,2014 by an average of 7.95% annually and reflect review and analysis of the current rates informed by provider FY 2012 Uniform Financial Report cost report data. For most services the new rates use existing productivity standards, and cap administrative expenses at the 75th percentile of reported unit costs. The amendments also replace the current code for Medication management (90862 at $40.91) with a series of Evaluation and Management (ElM) codes and related modifiers. The rates for these codes are proposed to be the same as contained in the pricing regulations for physician payments at 101 CMR 317.00, and range from $15.41 to $154.28.

EOHHS is making these changes to ensure that payments are reasonable and adequate to meet the costs that must be incurred by efficiently and economically operated providers. It is estimated that

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. annual aggregate MassHealth expenditures will increase by $2.43 million in 2014 and 2015 and an additional $250,000 in 2015 as a result of these amendments. There is no fiscal impact on cities and towns. The amendments do not impose new costs on small businesses; the impact on small business providers will vary based on the volume of services provided.

Individuals that notify EOHHS of their intent to testify at the hearing will be afforded an earlier opportunity to speak. Speakers may notify EOHHS of their intention to testify at the hearing by registering online at [email protected]. Individuals may also submit written testimony by [email protected]. Please submit electronic testimony as an attached Word document or as text within the body of the email with the name of the regulation in the subject line. All submissions must include the sender's full name and address. Individuals who are unable to submit testimony by email should mail written testimony to EOHHS, c/o D. Briggs, 100 Hancock Street, 6th Floor, Quincy, MA 02171. Written testimony must be submitted by 5:00 p.m. on Thursday, May 15, 2014. Copies of the emergency adopted regulation are available for inspection and/or purchase at EOHHS or viewed at EOHHS's website at www.mass.gov/eohhs/gov/laws- regs/hhs/eohhs-regulations. html.

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. SMALL BUSINESS IMPACT STATEMENT

In order to accurately predict the impact the adoption, amendment, or repeal of a regulation will have on small businesses, the promulgating authority must conduct a thorough analysis that not only considers the potential effects of the action but also quantifies the costs, if any, associated with each. The questions below are designed to aid promulgating authorities in conducting their analysis.

Agency Submitting Regulation: Executive Office of Health and Human Services

Subject Matter of Regulation: Rates of Payment for Mental Health Services Provided in Community Health Centers and Mental Health Centers

Regulation No: 114.3 CMR 6.00

Statutory Authority: M.G.L. c. 118E

Other Agencies Affected: MassHealth

Other Regulations That May Duplicate or Conflict with the Regulation: None

Describe the Scope and Objectives of the Regulation: Regulation 114.3 CMR 6.00 governs the payment rates for mental health services provided in community health centers and mental health centers.

Business Industry(ies) Affected by the Regulation: Community health centers and mental health centers which provide mental health services to publicly-aided individuals.

Types of Businesses Included in the Industry(ies): Community health centers and mental health centers which provide mental health services to publicly-aided individuals.

Total Number of Small Businesses Included in the Regulated Industry(ies) Please see the attached guidance documentsfor assistance determining the total number ofsmall businesses: There are currently 96 community health centers and mental health centers which provide mental health services to publicly-aided individuals.

Number of Small Businesses Potentially Subject to the Proposed Regulation: There are currently 96 community health centers and mental health centers which provide mental health services to publicly-aided individuals.

Effective Date Used In Cost Estimate: January 1,2014

Yes No *Note: For each question, please answer 'yes" or "no" and offer a brief explanation. Please describe any facts, data, views, arguments, or other input from small businesses, organizations or any other sources that were used to quantify the impacts outlined below.

Yes No Will small businesses have to create, file, or issue additional reports? D [8]

Yes No Will small businesses have to implement additional record keeping procedures? D [8]

Yes No Will small businesses have to provide additional administrative oversight? D [8]

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. Yes No Will small businesses have to hire additional employees in order to comply with the 0 [8J proposed regulation?

Yes No Does compliance with the regulation require small businesses to hire other professionals 0 [8J (e.g. a lawyer, accountant, engineer, etc.)?

Yes No Does the regulation require small businesses to purchase a product or make any other 0 [8J capital investments in order to comply with the regulation?

Yes No Are performance standards more appropriate than design standards? 0 [8J

Yes No Does the regulation require small businesses to cooperate with audits, inspections, or 0 [8J other regulatory enforcement activities?

Yes No Will the regulation have the effect of creating additional taxes and/or fees for small 0 [8J businesses?

Yes No Does the regulation require small businesses to provide educational services to keep up to 0 [8J date with regulatory requirements?

Yes No Is the regulation likely to deter the formation of small businesses in Massachusetts? 0 [8J

Yes No Is the regulation likely to encourage the formation of small businesses in Massachusetts? 0 [8J

Yes No Can the regulation provide for less stringent compliance or reporting requirements for 0 [8J small businesses?

Yes No Can the regulation establish less stringent schedules or deadlines for compliance or 0 [8J reporting requirements for small businesses?

Yes No Can the compliance or reporting requirements be consolidated or simplified for small 0 [8J businesses?

Yes No Can performance standards for small businesses replace design or operational standards? 0 [8J

Yes No Are there alternative regulatory methods that would minimize the adverse impact on 0 [8J small businesses?

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. Yes No Were any small businesses or small business organizations contacted during the 0 ~ preparation of this document? If so, please describe.

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. The Commonwealth of Massachusetts Executive Office of Health and Human Services One Ashburton Place) Room 1109 Boston, MA 02108

Tcl.:617-573-1600 DIWAL L. PATRICK Fax: 617-573-1890 Governor www.mass.gov Ieohhs 114.4 CMR 13.00 JOHN W. POLANOWICZ Secretary NOTICE OF PUBLIC HEARING Pursuant to the provisions of M.G.L. c.118E and in accordance with M.G.L. c. 30A, as amended, the Executive Office of Health and Human Services (EOHHS) will hold a public hearing on Tuesday, May 6,2014 at 10:00 a.m. at the Center for Health Information and Analysis, Two Boylston Street, 5th Floor, Boston, MA 02116, relative to the proposed adoption of:

101 CMR 413.00: Rates for Youth Intermediate-Term Stabilization Services

and the proposed repeal of:

114.4 CMR 13.00: Rates for Youth Intermediate-Term Stabilization Services

These actions are being taken in order to comply with c. 224 of the Acts of 2012, which transferred authority for this regulation from the Division of Health Care Finance and Policy in M.G. L. c. 118G to EOHHS in M.G.L. c. 118E. 101 CMR 413.00 replaces 114.4 CMR 13.00 as the regulation governing payment rate for Youth Intermediate-Term Stabilization Services (YITS) purchased by governmental units. These are programs that provide a child, adolescent, or young adult temporary housing in a specialized residential or hospital setting to provide comprehensive services, and to promote stabilization and transition to (1) a less restrictive setting, (2) a permanent family home, (3) independence, or (4) another type of adult program.

The proposed amendments increase the rates for Clinically Intensive Youth Residential Substance Use Disorder Treatment services from $200.24 to $230.19 per diem, effective July 1, 2014. These are comprehensive alcohol and drug treatment services provide in a residential setting for up to 90 days, to give 13-17 year old youth in crisis a proper environment in which to receive assessment, care supervision and medical monitoring necessary for their physical and emotional stabilization. The rate was developed using a model budget based on FY 2011 Uniform Financial Report data. A cost adjustment factor of 2.05% was applied. A relief factor of 15.8% was used to ensure sufficient staffing support, which increased FTEs by 1.5. The proposal also increases the Nurse FTEs from 0.1 to 0.25. Tax and fringe was set at 22%, consistent with the current rate structure, and a utilization factor of 85% was used. Staff salaries were calculated using various existing benchmarks in the YITS programs.

EOHHS is proposing this regulation to ensure that payments are reasonable and adequate to meet the costs that must be incurred by efficiently and economically operated providers. It is estimated that annual aggregate Department of Public Health expenditures will increase by $864,000 as a result of this regulation. There is no fiscal impact on cities and towns. The amendments do not impose new costs on small businesses; the impact on small business providers will vary based on the volume of services provided.

Individuals that notify EOHHS of their intent to testify at the hearing will be afforded an earlier opportunity to speak. Speakers may notify EOHHS of their intention to testify at the hearing by registering online at [email protected]. Individuals may also submit written testimony by [email protected]. Please submit electronic testimony as an attached Word document or as text within the body of the email with the name of the regulation in the subject line. All submissions must include the sender's full name and address. Individuals who are unable to

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. submit testimony by em ail shouldmailwrittentestimonytoEOHHS.c/oD.Briggs. 100 Hancock Street, 6th Floor, Quincy, MA 02171. Written testimony must be submitted by 5:00 p.m. on Friday, May 16 ,2014. Copies of the proposed regulation are available for inspection and/or purchase at EOHHS or viewed at EOHHS's website at www.mass.gov/eohhs/gov/laws-regs/hhs/eohhs- regulations.html.

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. SMALL BUSINESS IMPACT STATEMENT

In order to accurately predict the impact the adoption, amendment, or repeal of a regulation will have on small businesses, the promulgating authority must conduct a thorough analysis that not only considers the potential effects of the action but also quantifies the costs, if any, associated with each. The questions below are designed to aid promulgating authorities in conducting their analysis.

Agency Submitting Regulation: Executive Office of Health and Human Services

Subject Matter of Regulation: Payments for Youth Intermediate Term Stabilization Services

Regulation No: 114.4 CMR 13.00

Statutory Authority: M.G.L. c. 118E

Other Agencies Affected: Department of Public Health

Other Regulations That May Duplicate or Conflict with the Regulation: None

Describe the Scope and Objectives of the Regulation: 114.4 CMR 13.00 establishes rates of payment to eligible providers of youth intermediate-term stabilization services to publicly assisted clients.

Business Industry(ies) Affected by the Regulation: Providers of youth intermediate-term stabilization services to publicly assisted clients.

Types of Businesses Included in the Industry(ies): Providers of youth intermediate-term stabilization services.

Total Number of Small Businesses Included in the Regulated Industry(ies) Please see the attached guidance documents for assistance determining the total number of small businesses: There are four providers of the type of youth intermediate-term stabilization services covered by the substantive changes in this regulation (substance use disorder treatment).

Number of Small Businesses Potentially Subject to the Proposed Regulation: The four providers of youth intermediate-term stabilization services which provide substance use disorder treatment services..

Effective Date Used In Cost Estimate: July 1, 2014

Yes No *Note: For each question, please answer "yes" or "no" and offer a brief explanation. Please describe any facts, data, views, arguments, or other input from small businesses, organizations or any other sources that were used to quantify the impacts outlined below.

Yes No Will small businesses have to create, file, or issue additional reports? 0 ~

Yes No Will small businesses have to implement additional recordkeeping procedures? 0 ~

Yes No Will small businesses have to provide additional administrative oversight? 0 ~

Yes No Will small businesses have to hire additional employees in order to comply with the

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. D [8] proposed regulation?

Yes No Does compliance with the regulation require small businesses to hire other professionals D [8] (e.g. a lawyer, accountant, engineer, etc.)?

Yes No Does the regulation require small businesses to purchase a product or make any other D [8] capital investments in order to comply with the regulation?

Yes No Are performance standards more appropriate than design standards? D [8]

Yes No Does the regulation require small businesses to cooperate with audits, inspections, or D ~ other regulatory enforcement activities?

Yes No Will the regulation have the effect of creating additional taxes and/or fees for small D ~ businesses?

Yes No Does the regulation require small businesses to provide educational services to keep up to D [8] date with regulatory requirements?

Yes No Is the regulation likely to deter the formation of small businesses in Massachusetts? D ~

Yes No Is the regulation likely to encourage the formation of small businesses in Massachusetts? D ~

Yes No Can the regulation provide for less stringent compliance or reporting requirements for D [8] small businesses?

Yes No Can the regulation establish less stringent schedules or deadlines for compliance or D ~ reporting requirements for small businesses?

Yes No Can the compliance or reporting requirements be consolidated or simplified for small D [8] businesses?

Yes No Can performance standards for small businesses replace design or operational standards? D [8]

Yes No Are there alternative regulatory methods that would minimize the adverse impact on D [8] small businesses?

Yes No Were any small businesses or small business organizations contacted during the D ~ 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. preparation of this document? If so, please describe.

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. The Commonwealth of Massachusetts Executive Office of Health and Human Services One Ashburton Place, Room 1109 Boston, MA 02108

Tel.: 617-573-1600 DEVAL L. PATRICK Fax: 617-573-1890 Governor www.mass.gov / eohhs

JOHN W. POLANOWICZ NOTICE OF PUBLIC HEARING Secretary 101 CMR 306.00 Pursuant to the provisions of M.G.L. c.118E and in accordance with M.G.L. c. 30A, the Executive Office of Health and Human Services (EOHHS) will hold a public hearing on Monday, May 5,2014 at 10:00 a.m. at the Center for Health Information and Analysis, Two Boylston Street, 5th floor, Boston, MA 02116 relative to the emergency adoption of:

101 CMR 306.00: Rates of Payment for Mental Health Services Provided in Community Health Centers and Mental Health Centers

and the emergency repeal of:

114.3 CMR 6.00: Rates of Payment for Mental Health Services Provided in Community Health Centers and Mental Health Centers

These actions are being taken in order to comply with c. 224 of the Acts of 2012, which transferred authority for this regulation from the Division of Health Care Finance and Policy in M.G.L. c. 118G to the Executive Office of Health and Human Services (EOHHS) in M.G.L. c. 118E. 101 CMR 306.00 replaces 114.3 CMR 6.00 as the regulation governing payment rates for outpatient mental health services provided by mental health centers and community health centers, and contains amendments as well. It is being adopted on an emergency basis, and applies to dates of service beginning January 1, 2014, in order to comply with St. 2013, c. 118, § 32, which requires the rates to be effective January 1, 2014.

These amendments are being adopted to implement the requirements of St. 2013, c.118, §32, which requires MassHealth to implement Current Procedural Terminology (CPT) evaluation and management (ElM) codes for behavioral health services and to pay the medicallsurgical rate for such covered codes. It also requires updates of community mental health center rates, which includes rates for behavioral health services in community health centers, effective January 1, 2014. The new rates for family therapy (90847), multiple family group therapy (90849), group therapy (90853), and a medical management code (90882) formerly referred to as case consultation are established on a 'per visit' basis, rather than on a "per % hour" basis, in order to implement the "one unit" limit applicable to those codes due to the federal National Correct Coding Initiative (NCCI). In addition, the regulations reflect updates to code descriptions.

The emergency adoption of 101 CMR 306.00 to replace 114.3 CMR 6.00 will increase the payment rates for non-ElM services provided on and after January 1,2014 by an average of 7.95% annually and reflect review and analysis of the current rates informed by provider FY 2012 Uniform Financial Report cost report data. For most services the new rates use existing productivity standards, and cap administrative expenses at the 75th percentile of reported unit costs. The amendments also replace the current code for Medication management (90862 at $40.91) with a series of Evaluation and Management (ElM) codes and related modifiers. The rates for these codes are proposed to be the same as contained in the pricing regulations for physician payments at 101 CMR 317.00, and range from $15.41 to $154.28.

EOHHS is making these changes to ensure that payments are reasonable and adequate to meet the costs that must be incurred by efficiently and economically operated providers. It is estimated that

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. annual aggregate MassHealth expenditures will increase by $2.43 million in 2014 and 2015 and an additional $250,000 in 2015 as a result of these amendments. There is no fiscal impact on cities and towns. The amendments do not impose new costs on small businesses; the impact on small business providers will vary based on the volume of services provided.

Individuals that notify EOHHS of their intent to testify at the hearing will be afforded an earlier opportunity to speak. Speakers may notify EOHHS of their intention to testify at the hearing by registering online at [email protected]. Individuals may also submit written testimony by [email protected]. Please submit electronic testimony as an attached Word document or as text within the body of the email with the name of the regulation in the subject line. All submissions must include the sender's full name and address. Individuals who are unable to submit testimony by email shouldmailwrittentestimonytoEOHHS.c/oD.Briggs. 100 Hancock Street, 6th Floor, Quincy, MA 02171. Written testimony must be submitted by 5:00 p.m. on Thursday, May 15, 2014. Copies of the emergency adopted regulation are available for inspection and/or purchase at EOHHS or viewed at EOHHS's website at www.mass.gov/eohhs/gov/laws- regs/hhs/eohhs-regulations.html.

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. SMALL BUSINESS IMPACT STATEMENT

In order to accurately predict the impact the adoption, amendment, or repeal of a regulation will have on small businesses, the promulgating authority must conduct a thorough analysis that not only considers the potential effects of the action but also quantifies the costs, if any, associated with each. The questions below are designed to aid promulgating authorities in conducting their analysis.

Agency Submitting Regulation: Executive Office of Health and Human Services

Subject Matter of Regulation: Rates of Payment for Mental Health Services Provided in Community Health Centers and Mental Health Centers

Regulation No: 101 CMR 306.00

Statutory Authority: M.G.L. c. 118E

Other Agencies Affected: MassHealth

Other Regulations That May Duplicate or Conflict with the Regulation: None

Describe the Scope and Objectives of the Regulation: Regulation 101 CMR 306.00 governs the payment rates for mental health services provided in community health centers and mental health centers.

Business Industry(ies) Affected by the Regulation: Community health centers and mental health centers which provide mental health services to publicly-aided individuals.

Types of Businesses Included in'the Industry(ies): Community health centers and mental health centers which provide mental health services to publicly-aided individuals.

Total Number of Small Businesses Included in the Regulated Industry(ies) Please see the attached guidance documents for assistance determining the total number of small businesses: There are currently 96 community health centers and mental health centers which provide mental health services to publicly-aided individuals.

Number of Small Businesses Potentially Subject to the Proposed Regulation: There are currently 96 community health centers and mental health centers which provide mental health services to publicly-aided individuals.

Effective Date Used In Cost Estimate: January 1,2014

Yes No *Note: For each question, please answer 'yes" or "no" and offer a brief explanation. Please describe any facts, data, views, arguments, or other input from small businesses, organizations or any other sources that were used to quantify the impacts outlined below.

Yes No Will small businesses have to create, file, or issue additional reports? 0 ~

Yes No Will small businesses have to implement additional record keeping procedures? D ~

Yes No Will small businesses have to provide additional administrative oversight? D ~

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. Yes No Will small businesses have to hire additional employees in order to comply with the D ~ proposed regulation?

Yes No Does compliance with the regulation require small businesses to hire other professionals D ~ (e.g. a lawyer, accountant, engineer, etc.)?

Yes No Does the regulation require small businesses to purchase a product or make any other D ~ capital investments in order to comply with the regulation?

Yes No Are performance standards more appropriate than design standards? D ~

Yes No Does the regulation require small businesses to cooperate with audits, inspections, or D ~ other regulatory enforcement activities?

Yes No Will the regulation have the effect of creating additional taxes and/or fees for small D ~ businesses?

Yes No Does the regulation require small businesses to provide educational services to keep up to D ~ date with regulatory requirements?

Yes No Is the regulation likely to deter the formation of small businesses in Massachusetts? D ~

Yes No Is the regulation likely to encourage the formation of small businesses in Massachusetts? D ~

Yes No Can the regulation provide for less stringent compliance or reporting requirements for D ~ small businesses?

Yes No Can the regulation establish less stringent schedules or deadlines for compliance or D ~ reporting requirements for small businesses?

Yes No Can the compliance or reporting requirements be consolidated or simplified for small D ~ businesses?

Yes No Can performance standards for small businesses replace design or operational standards? D ~

Yes No Are there alternative regulatory methods that would minimize the adverse impact on D ~ small businesses?

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. Yes No Were any small businesses or small business organizations contacted during the 0 ~ preparation of this document? If so, please describe.

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. The Commonwealth of Massachusetts Executive Office of Health and Human Services One Ashburton Place) Room 1109 Boston) MA 02108

Tel.: 617-573-1600 DEVAL 1. PATRICK Fax: 617-573-1890 Governor www.mass.gov/eohhs

101 CMR 413.00 JOHN W. POLANOWICZ Secretary NOTICE OF PUBLIC HEARING Pursuant to the provisions of M.G.L. c.118E and in accordance with M.G.L. c. 30A, as amended, the Executive Office of Health and Human Services (EOHHS) will hold a public hearing on Tuesday, May 6, 2014 at 10:00 a.m. at the Center for Health Information and Analysis, Two Boylston Street, 5th Floor, Boston, MA 02116, relative to the proposed adoption of:

101 CMR 413.00: Rates for Youth Intermediate-Term Stabilization Services

and the proposed repeal of:

114.4 CMR 13.00: Rates for Youth Intermediate-Term Stabilization Services

These actions are being taken in order to comply with c. 224 of the Acts of 2012, which transferred authority for this regulation from the Division of Health Care Finance and Policy in M.G.L. c. 118G to EOHHS in M.G.L. c. 118E. 101 CMR 413.00 replaces 114.4 CMR 13.00 as the regulation governing payment rate for Youth Intermediate-Term Stabilization Services (YITS) purchased by governmental units. These are programs that provide a child, adolescent, or young adult temporary housing in a specialized residential or hospital setting to provide comprehensive services, and to promote stabilization and transition to (1) a less restrictive setting, (2) a permanent family home, (3) independence, or (4) another type of adult program.

The proposed amendments increase the rates for Clinically Intensive Youth Residential Substance Use Disorder Treatment services from $200.24 to $230.19 per diem, effective July 1, 2014. These are comprehensive alcohol and drug treatment services provide in a residential setting for up to 90 days, to give 13-17 year old youth in crisis a proper environment in which to receive assessment, care supervision and medical monitoring necessary for their physical and emotional stabilization. The rate was developed using a model budget based on FY 2011 Uniform Financial Report data. A cost adjustment factor of 2.05% was applied. A relief factor of 15.8% was used to ensure sufficient staffing support, which increased FTEs by 1.5. The proposal also increases the Nurse FTEs from 0.1 to 0.25. Tax and fringe was set at 22%, consistent with the current rate structure, and a utilization factor of 85% was used. Staff salaries were calculated using various existing benchmarks in the YITS programs.

EOHHS is proposing this regulation to ensure that payments are reasonable and adequate to meet the costs that must be incurred by efficiently and economically operated providers. It is estimated that annual aggregate Department of Public Health expenditures will increase by $864,000 as a result of this regulation. There is no fiscal impact on cities and towns. The amendments do not impose new costs on small businesses; the impact on small business providers will vary based on the volume of services provided.

Individuals that notify EOHHS of their intent to testify at the hearing will be afforded an earlier opportunity to speak. Speakers may notify EOHHS of their intention to testify at the hearing by registering online at [email protected]. Individuals may also submit written testimony by [email protected]. Please submit electronic testimony as an attached Word document or as text within the body of the email with the name of the regulation in the subject line. All submissions must include the sender's full name and address. Individuals who are unable to

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. submit testimony by email should mail written testimony to EOHHS, c/oD. Briggs, 100 Hancock Street, 6th Floor, Quincy, MA 02171. Written testimony must be submitted by 5:00 p.m. on Friday, May 16 ,2014. Copies of the proposed regulation are available for inspection and/or purchase at EOHHS or viewed at EOHHS's website at www.mass.gov/eohhs/gov/laws-regs/hhs/eohhs- regulations. 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. SMALL BUSINESS IMPACT STATEMENT

In order to accurately predict the impact the adoption, amendment, or repeal of a regulation will have on small businesses, the promulgating authority must conduct a thorough analysis that not only considers the potential effects of the action but also quantifies the costs, if any, associated with each. The questions below are designed to aid promulgating authorities in conducting their analysis.

Agency Submitting Regulation: Executive Office of Health and Human Services

Subject Matter of Regulation: Payments for Youth Intermediate Term Stabilization Services

Regulation No: 101 CMR413.00

Statutory Authority: M.G.L. c. l18E

Other Agencies Affected: Department of Public Health

Other Regulations That May Duplicate or Conflict with the Regulation: None

Describe the Scope and Objectives ofthe Regulation: 101 CMR413.00 establishes rates of payment to eligible providers of youth intermediate-term stabilization services to publicly assisted clients.

Business Industry(ies) Affected by the Regulation: Providers of youth intermediate-term stabilization services to publicly assisted clients.

Types of Businesses Included in the Industry(ies): Providers of youth intermediate-term stabilization services.

Total Number of Small Businesses Included in the Regulated Industry(ies) Please see the attached 'guidance documents for assistance determining the total number of small businesses: There are four providers of the type of youth intermediate-term stabilization services covered by the substantive changes in this regulation (substance use disorder treatment).

Number of Small Businesses Potentially Subject to the Proposed Regulation: The four providers of youth intermediate-term stabilization services which provide substance use disorder treatment services ..

Effective Date Used In Cost Estimate: July 1, 2014

Yes No *Note: For each question, please answer 'yes" or "no" and offer a brief explanation. Please describe any facts, data, views, arguments, or other inputfrom small businesses, organizations or any other sources that were used to quantify the impacts outlined below.

Yes No Will small businesses have to create, file, or issue additional reports? D 0

Yes No Will small businesses have to implement additional recordkeeping procedures? D 0

Yes No Will small businesses have to provide additional administrative oversight? D 0

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. Yes No Will small businesses have to hire additional employees in order to comply with the D ~ proposed regulation?

Yes No Does compliance with the regulation require small businesses to hire other professionals 0 [8J (e.g. a lawyer, accountant, engineer, etc.)?

Yes No Does the regulation require small businesses to purchase a product or make any other D ~ capital investments in order to comply with the regulation?

Yes No Are performance standards more appropriate than design standards? D ~

Yes No Does the regulation require small businesses to cooperate with audits, inspections, or D ~ other regulatory enforcement activities?

Yes No Will the regulation have the effect of creating additional taxes and/or fees for small D ~ businesses?

Yes No Does the regulation require small businesses to provide educational services to keep up to D ~ date with regulatory requirements?

Yes No Is the regulation likely to deter the formation of small businesses in Massachusetts? D ~

Yes No Is the regulation likely to encourage the formation of small businesses in Massachusetts? D ~

Yes No Can the regulation provide for less stringent compliance or reporting requirements for D ~ small businesses?

Yes No Can the regulation establish less stringent schedules or deadlines for compliance or D ~ reporting requirements for small businesses?

Yes No Can the compliance or reporting requirements be consolidated or simplified for small D ~ businesses?

Yes No Can performance standards for small businesses replace design or operational standards? 0 [8J

Yes No Are there alternative regulatory methods that would minimize the adverse impact on D ~ small businesses?

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. Yes No Were any small businesses or small business organizations contacted during the D ~ preparation of this document? If so, please describe.

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. The Commonwealth of Massachusetts Executive Office of Health and Human Services Office of Medicaid One Ashburton Place Boston, MA 02108

DEVAL L. PATRICK Governor :::OtJ') ~ r'I1f'11 JOHN W. POLANOWICZ - c:;?CJ Secretary or C::-;n :It \- f'I1 ~ ";;>--\ KRISTIN L. THORN .,..., -\~ Medicaid Director N ;::--;n Division of Medical Assistance (X) :.::-< .:10 NOTICE OF PROPOSED AMENDMENT OF REGULATIONS -0 -.)-n :]I: ~;:tf> z:- .-;:-\ e••,..) '-I~i J::> The Division proposes to amend its regulations under the authority ofM.G.L. c. 118E, §§7.filldi~rn 12 and pursuant to M.G.L. c. 30A, §3. The Division describes the substance ofthe proposed actions as amendments to regulations found at 130 CMR 429.000.

The proposed amendments to 130 CMR 429.000 include conforming and clarifying changes that stem from implementation of the requirements ofSt. 2013, c. 118, §32 regarding the adoption of evaluation and management (ElM) codes and ensure that the provisions of the MassHealth mental health center regulations align with the mental health center pricing regulations at 101 CMR 306.000. These changes include clarification of 'crisis intervention' services as 'psychotherapy in crisis ' services, and specifying the types of staff members, including psychiatric nurse mental health clinical specialists, who are authorized to render mental health services for which mental health centers may bill. In addition, relevant sections of 130 CMR 429.000 have been revised to reflect the transfer of the authority for rate setting from the Division of Health Care Finance and Policy (Division) to the Executive Office of Health and Human Services (EOHHS).

These regulations went into effect March 27,2014, as emergency regulations.

All persons desiring to submit data, views, or arguments concerning these proposed actions may submit them in writing to the Medicaid Director, EOHHS, One Ashburton Place, Room 1109, Boston, Massachusetts 02108, or e-mail them to [email protected]. E-mailed comments should contain the sender's name, mailing address, and organization or affiliation, if any. Comments will be accepted through 5:00 P.M. on May 2,2014.

All persons desiring to review the current draft of the proposed actions may go to www.mass.gov/masshealthlproposedregs or request a copy in writing or in person from the MassHealth Publications Unit, 100 Hancock Street, 6th Floor, Quincy, Massachusetts 02171.

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

Friday, April 11, 2014

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. SMALL BUSINESS IMPACT STATEMENT

In order to accurately predict the impact the adoption, amendment, or repeal of a regulation will have on small businesses, the promulgating authority must conduct a thorough analysis that not only considers the potential effects of the action but also quantifies the costs, if any, associated with each. The questions below are designed to aid promulgating authorities in conducting their analysis.

Agency Submitting Regulation: Executive Office of Health and Human Services

Subject Matter of Regulation: Rates of Payment for Mental Health Services Provided in Community Health Centers and Mental Health Centers

Regulation No: 130 CMR 429.000

Statutory Authority: M.G.L. c. 118E

Other Agencies Affected: MassHealth

Other Regulations That May Duplicate or Conflict with the Regulation: None

Describe the Scope and Objectives of the Regulation: Regulation 130 CMR 429.00 governs the operation of MassHealth participating mental health centers and mental health services provided in community health centers.

Business Industry(ies) Affected by the Regulation: Community health centers and mental health centers which provide mental health services to publicly-aided individuals.

Types of Businesses Included in the Industry(ies): Community health centers and mental health centers which provide mental health services to publicly-aided individuals.

Total Number of Small Businesses Included in the Regulated Industry(ies) Please see the attached guidance documents for assistance determining the total number of small businesses: There are currently 96 community health centers and mental health centers which provide mental health services to publicly-aided individuals.

Number of Small Businesses Potentially Subject to the Proposed Regulation: There are currently 96 community health centers and mental health centers which provide mental health services to publicly-aided individuals.

Effective Date Used In Cost Estimate: January 1,2014

Yes No *Note: For each question, please answer 'yes" or "no" and offer a brief explanation. Please describe any facts, data, views, arguments, or other input from small businesses, organizations or any other sources that were used to quantify the impacts outlined below.

Yes No Will small businesses have to create, file, or issue additional reports? 0 [8;1

Yes No Will small businesses have to implement additional record keeping procedures? 0 0

Yes No Will small businesses have to provide additional administrative oversight?

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. 0 0

Yes No Will small businesses have to hire additional employees in order to comply with the 0 0 proposed regulation?

Yes No Does compliance with the regulation require small businesses to hire other professionals 0 0 (e.g. a lawyer, accountant, engineer, etc.)?

Yes No Does the regulation require small businesses to purchase a product or make any other 0 0 capital investments in order to comply with the regulation?

Yes No Are performance standards more appropriate than design standards? 0 0

Yes No Does the regulation require small businesses to cooperate with audits, inspections, or 0 0 other regulatory enforcement activities?

Yes No Will the regulation have the effect of creating additional taxes and/or fees for small 0 0 businesses?

Yes No Does the regulation require small businesses to provide educational services to keep up to 0 0 date with regulatory requirements?

Yes No Is the regulation likely to deter the formation of small businesses in Massachusetts? 0 0

Yes No Is the regulation likely to encourage the formation of small businesses in Massachusetts? 0 0

Yes No Can the regulation provide for less stringent compliance or reporting requirements for 0 0 small businesses?

Yes No Can the regulation establish less stringent schedules or deadlines for compliance or 0 0 reporting requirements for small businesses?

Yes No Can the compliance or reporting requirements be consolidated or simplified for small 0 0 businesses?

Yes No Can performance standards for small businesses replace design or operational standards? 0 0

Yes No Are there alternative regulatory methods that would minimize the adverse impact on 0 0 small businesses?

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. Yes No Were any small businesses or small business organizations contacted during the 0 [gJ preparation of this document? If so, please describe.

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. The Commonwealth of Massachusetts Executive Office of Health and Human Services Department of Public Health 250 Washington Street Boston, MA 02108-4619

DEVAL L. PATRICK GOVERNOR

JOHN W. POLANOWICZ SECRETARY CHERYL BARTLETT, RN COMMISSIONER

NOTICE OF PUBLIC HEARING

Notice is hereby given pursuant to M.G.L. c. 30A, §2, that the Department of Public Health will hold a public hearing on amendments to 105 CMR171.000, Massachusetts First Responder Training, and 105 CMR 700.000, Implementation of M G.L c. 94C.

Amendments to 105 CMR 171.000 and 700.000 permit municipalities to register with the Department in order for first responders to carry and administer naloxone, and also set out the training requirements for first responder agencies that choose to utilize naloxone. Naloxone is a drug that reverses the effects of an opioid overdose.

The public hearing will be held on Friday, April 25, 2014 at 10:00 a.m. in the Public Health Council Room, Second Floor, Department of Public Health, 250 Washington Street, Boston, MA. Speakers are requested to provide a copy of their oral testimony. The Department encourages all interested parties to submit testimony electronically to the following address: [email protected]. Please submit electronic testimony as an attached Word document or as text within the body of an email and type "First Responder Naloxone Administration" in the subject line for testimony on either 105 CMR 171.000 and 105 CMR 700.000. All submissions must include the sender's full name and address. The Department will post all electronic testimony that complies with these instructions on its website. Parties who are unable to submit electronic testimony should mail submissions to LouAnn Stanton, Office of the General Counsel, Department of Public Health, 250 Washington Street, Boston, MA 02108. All written or oral comments submitted to the Department may be posted on the Department's website and released in response to a request for public records. All testimony must be submitted by 5:00 p.m. on Friday, April 25, 2014.

A copy of the proposed amendments may be viewed on the Department's website or obtained from the Office of the General Counsel at 617-624-5220.

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. SMALL BUSINESS IMPACT STATEMENT

In order to accurately predict the impact the adoption, amendment, or repeal of a regulation will have on small businesses, the promulgating authority must conduct a thorough analysis that not only considers the potential effects of the action but also quantifies the costs, if any, associated with each. The questions below are designed to aid promulgating authorities in conducting their analysis.

Agency Submitting Regulation: Department of Public Health

Subject Matter of Regulation:Massachusetts First Responder Training

Regulation No: 105.CMR 171.000

Statutory Authority: M.G.L. c. 111, Section 201

Other Agencies Affected: none

Other Regulations That May Duplicate or Conflict with the Regulation: None

Describe the Scope and Objectives of the Regulation:

This regulation impacts police, fire and permanent or temporary lifeguards employed by the Commonwealth or any of its political subdivisions, who are not employed by an EMS service as defined by 105 CMR 170.000 (governing emergency medical services system), but instead by a First Responder Agency, as that is defined in 105 CMR 171.000. The proposed regulatory changes establish training standards for first responders who may administer naloxone or other opioid antagonists approved by the Department.

Business Industry(ies) Affected by the Regulation: none

Types of Businesses Included in the Industry(ies): none

Total Number of Small Businesses Included in the Regulated Industry(ies) Please see the attached guidance documents for assistance determining the total number of small businesses: none

Number of Small Businesses Potentially Subject to the Proposed Regulation: none

Effective Date Used In Cost Estimate: 3/18/14

Yes No *Note: For each question, please answer 'yes" or "no" and offer a brief explanation. Please describe any facts, data, views, arguments, or other input from small businesses, organizations or any other sources that were used to quantify the impacts outlined below.

Yes No Will small businesses have to create, file, or issue additional reports?

0 ~

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. Yes No Will small businesses have to implement additional record keeping procedures?

~ ~

Yes No Will small businesses have to provide additional administrative oversight?

D ~

Yes No Will small businesses have to hire additional employees in order to comply with the proposed regulation? D ~

Yes No Does compliance with the regulation require small businesses to hire other professionals (e.g. a lawyer, accountant, engineer, etc.)? D ~

Yes No Does the regulation require small businesses to purchase a product or make any other capital investments in order to comply with the regulation? D ~

Yes No Are performance standards more appropriate than design standards? 0 [gI

Yes No Does the regulation require small businesses to cooperate with audits, inspections, or other regulatory enforcement activities? D ~

Yes No Will the regulation have the effect of creating additional taxes and/or fees for small businesses? D ~

Yes No Does the regulation require small businesses to provide educational services to keep up to date with regulatory requirements? D ~

Yes No Is the regulation likely to deter the formation of small businesses in Massachusetts?

D ~

Yes No Is the regulation likely to encourage the formation of small businesses in Massachusetts?

D ~

Yes No Can the regulation provide for less stringent compliance or reporting requirements for small businesses? D ~

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. Yes No Can the regulation establish less stringent schedules or deadlines for compliance or reporting requirements for small businesses? D ~

Yes No Can the compliance or reporting requirements be consolidated or simplified for small businesses? D ~

Yes No Can performance standards for small businesses replace design or operational standards?

D ~

Yes No Are there alternative regulatory methods that would minimize the adverse impact on small businesses? D ~

Yes No Were any small businesses or small business organizations contacted during the preparation of this document? If so, please describe. D ~

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. · Small Business Impact Statement Overview and Guidelines

Overview Pursuant to M.G.L. c. 30A, §§ 2 & 3, as amended by Chapter 240 of the Acts of2010, prior to the adoption, amendment, or repeal of any regulation, an agency must file with the secretary of state's office a public notice of the proposed action and include a small business impact statement. In the statement, the agency must consider the impact the proposed action will or will not have on small businesses in Massachusetts. The statement must include, but not be limited to, the following: (1) an estimate of the number of small businesses subject to the proposed regulation; (2) projected reporting, recordkeeping and other administrative costs required for compliance with the proposed regulation; (3) the appropriateness of performance standards versus design standards; (4) an identification of regulations of the promulgating agency, or of another agency or department of the Commonwealth, which may duplicate or conflict with the proposed regulation; and (5) an analysis of whether the proposed regulation is likely to deter or encourage the formation of new businesses in the Commonwealth.

After the agency has afforded the public an opportunity to present data, views, or arguments related to the small business impact statement, and prior to adopting the proposed regulation, M.G.L. c. 30A, § 5 requires the agency to file an amended small business impact statement with the secretary of state's office. In the amended statement, the agency must consider whether any of the following methods of reducing the impact of the proposed regulation would hinder achievement of the purpose of the proposed regulation: (1) establishing less stringent compliance or reporting requirements for small businesses; (2) establishing less stringent schedules or deadlines for compliance or reporting requirements for small businesses; (3) consolidating or simplifying compliance or reporting requirements for small businesses; (4) establishing performance standards for small businesses to replace design or operational standards required in the proposed regulation; (5) an analysis of whether the proposed regulation is likely to deter or encourage the formation of new businesses in the Commonwealth; and (6) minimizing adverse impacts on small businesses by using alternative regulatory methods.

A "small business" is defined by M.G.L. c. 30A, § 1 as a business entity or agriculture operation, including its affiliates that: (i) is independently owned and operated; (ii) has a principal place of business in the Commonwealth; and (iii) would be defmed as a "small business" under applicable federal law, as established in the United States Code and promulgated from time to time by the United States Small Business Administration.

A Snapshot of Small Businesses in Massachusetts Small businesses in Massachusetts account for a significant share of the state's economic production and hiring. According to the Small Business Administration, as of2008 there were 594,487 small businesses in Massachusetts.

Of these, l38,846 were employers, accounting for 47.8% of private-sector jobs in the state. I Given the important role small businesses play in the Massachusetts economy, it is critical that the effects a regulation has on small businesses be justified and mitigated to the greatest extent possible.

1Small Business Administration Office of Advocacy, Small Business Profile: Massachusetts, available online at: http://www .sba .gov LadvocacyL848L1238 7.

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. SMALL BUSINESS IMPACT STATEMENT

In order to accurately predict the impact the adoption, amendment, or repeal of a regulation will have on small businesses, the promulgating authority must conduct a thorough analysis that not only considers the potential effects of the action but also quantifies the costs, if any, associated with each. The questions below are designed to aid promulgating authorities in conducting their analysis.

Agency Submitting Regulation: Department of Public Health

Subject Matter of Regulation: Implementation ofM.G.L. c. 94C

Regulation No: 105 CMR 700.000

Statutory Authority: M.G.L. c.94C, s. 7

Other Agencies Affected: none

Other Regulations That May Duplicate or Conflict with the Regulation: none

Describe the Scope and Objectives of the Regulation:

This regulation impacts municipalities and their first responders: police, fire and permanent or temporary lifeguards employed by the Commonwealth or any of its political subdivisions, who are not employed by an EMS service as defined by 105 CMR 170.000 (governing emergency medical services system), but instead by a First Responder Agency, as that is defined in 105 CMR 171.000. The proposed regulatory changes permit first responders to administer naloxone or other opioid antagonists approved by the Department in accordance with the Massachusetts First Responder training regulations and require municipalities to register with the Department prior to authorizing the administratoin of any opioid antagonists.

Business Industry(ies) Affected by the Regulation: none

Types of Businesses Included in the Industry(ies): none

Total Number of Small Businesses Included in the Regulated Industry(ies) Please see the attached guidance documentsfor assistance determining the total number of small businesses: none

Number of Small Businesses Potentially Subject to the Proposed Regulation: none

Effective Date Used In Cost Estimate: 3/18/14

Yes No *Note: For each question, please answer 'yes" or "no" and offer a brief explanation. Please describe any facts, data, views, arguments, or other input from small businesses, organizations or any other sources that were used to quantify the impacts outlined below.

Yes No Will small businesses have to create, file, or issue additional reports?

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. 0 [gI

Yes No Will small businesses have to implement additional recordkeeping procedures? 0 [gI

Yes No Will small businesses have to provide additional administrative oversight? 0 rgJ

Yes No Will small businesses have to hire additional employees in order to comply with the proposed regulation? 0 [gI

Yes No Does compliance with the regulation require small businesses to hire other professionals (e.g. a lawyer, accountant, engineer, etc.)? 0 rgJ

Yes No Does the regulation require small businesses to purchase a product or make any other capital investments in order to comply with the regulation? 0 [gI

Yes No Are performance standards more appropriate than design standards? 0 rgJ

Yes No Does the regulation require small businesses to cooperate with audits, inspections, or other regulatory enforcement activities? 0 rgJ

Yes No Will the regulation have the effect of creating additional taxes and/or fees for small businesses? 0 rgJ

Yes No Does the regulation require small businesses to provide educational services to keep up to date with regulatory requirements? 0 rgJ

Yes No Is the regulation likely to deter the formation of small businesses in Massachusetts? 0 rgJ

Yes No Is the regulation likely to encourage the formation of small businesses in Massachusetts? 0 rgJ

Yes No Can the regulation provide for less stringent compliance or reporting requirements for small businesses?

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. D r2l

Yes No Can the regulation establish less stringent schedules or deadlines for compliance or reporting requirements for small businesses? D r2l

Yes No Can the compliance or reporting requirements be consolidated or simplified for small businesses? D r2l

Yes No Can performance standards for small businesses replace design or operational standards? D r2l

Yes No Are there alternative regulatory methods that would minimize the adverse impact on small businesses? D r2l

Yes No Were any small businesses or small business organizations contacted during the preparation of this document? If so, please describe. D r2l

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. The Commonwealth of Massachusetts Executive Office of Health and Human Services Department of Public Health 250 Washington Street, Boston, MA 02108-4619

Tel: 617-624-5220 DEVAL L. PATRICK Fax: 617-624-5234 GOVERNOR www.mass.gov/dph JOHN W. POLANOWICZ SECRETARY

CHERYL BARTLETT. RN COMMISSIONER

NOTICE OF PUBLIC HEARING

Notice is hereby given pursuant to M.G.L. c. 30A, §2, that the Department of Public Health will hold a public hearing on proposed amendments to 105 CMR 445.000, Minimum Standards for Bathing Beaches (State Sanitary Code, Chapter VII), to be promulgated pursuant to ·M.G.L. c. 111, §§127A and 5S. These proposed amendments will modify the criteria for when bathing water is considered unacceptable based on water quality standards.

The hearing will be held on Monday April 28, 2014, at 10:00 a.m. at the Department of Public Health, 250 Washington Street, Public Health Council Room, 2nd Floor, Boston, MA. Speakers are requested to provide a copy of their oral testimony. The Department encourages all interested parties to submit testimony electronically to the following address: [email protected]. Please submit electronic testimony as an attached Word document or as text within the body of an email and type "Bathing Beaches" in the subject line. All submissions must include the sender's full name and address. The Department will post all electronic testimony that complies with these instructions on its website. Parties who are unable to submit electronic testimony should mail submissions to LouAnn Stanton, Office of the General Counsel, Department of Public Health, 250 Washington Street, Boston, MA 02108. All testimony must be submitted by 5:00 p.m. on Monday April zs".

A copy of the proposed amendments may be viewed on the Department's website or obtained from LouAnn Stanton, Office of the General Counsel, at 617-624-5220.

T I' : I .Wd BZ ~nrw~lOZ { OiS!,\tiJ StJOlJ.T·lnn3lJ! 31V1S.:10 A~\113~J3S

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. SMALL BUSINESS IMPACT STATEMENT

In order to accurately predict the impact the adoption, amendment, or repeal of a regulation will have on small businesses, the promulgating authority must conduct a thorough analysis that not only considers the potential effects of the action but also quantifies the costs, if any, associated with each. The questions below are designed to aid promulgating authorities in conducting their analysis.

Agency Submitting Regulation: Department of Public Health

Subject Matter of Regulation:Minimum Standards for Bathing Beaches

Regulation No: 105 CMR 445.000

Statutory Authority: M.G.L. c. Ill, ss. 5S and 127 A

Other Agencies Affected: OCR is potentially affected but we don't expect any increased cost or burden resulting from these amendments.

Other Regulations That May Duplicate or Conflict with the Regulation: None

Describe the Scope and Objectives of the Regulation: The purpose of the bathing beach regulations is to protect the health, safety and well-being of the users of bathing beaches, to establish acceptable standards for the operation of the beaches and to establish a procedure for informing the public of any bathing beach closure. The regulations specify minimum standards for physical and bacteriological water quality and describe testing procedures. They apply to all operators of public and semi-public bathing beaches, as defined by the regulations.

Business Industry(ies) Affected by the Regulation: Operators of public and semi-public beaches

Types of Businesses Included in the Industrvties): Municipal agencies and small businesses and organizations that operate semi-public bathing beaches

Total Number of Small Businesses Included in the Regulated Industry(ies) Please see the attached guidance documentsfor assistance determining the total number ofsmall businesses: In 2012, there were 810 public beaches and 371 semi-public beaches licensed in MA. Semi-public beaches could be operated by hotels, inns, camps, or other private operators, but we don't have any information as to how many are operatred by small businesses. Many semi-public beaches are opearted by small beach associations, formed by local homeowners, and are not considered small businesses.

Number of Small Businesses Potentially Subject to the Proposed Regulation: We are unaware of any reliable sources of information on the total number of small businesses potentially affected by these regulations.

Effective Date Used In Cost Estimate: 2112114

Yes No "Note: For each question, please answer 'yes" or "no" and offer a brief explanation. Please describe any facts, data, views, arguments, or other input from small businesses, organizations or any other sources that were used to quantify the impacts outlined below.

Yes No Will small businesses have to. create, file, or issue additional reports?

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. 0 [8:J

Yes No Will small businesses have to implement additional recordkeeping procedures? 0 t8J

Yes No Will small businesses have to provide additional administrative oversight?

0 t8J

Yes No Will small businesses have to hire additional employees in order to comply with the proposed regulation? 0 t8J

Yes No Does compliance with the regulation require small businesses to hire other professionals (e.g. a lawyer, accountant, engineer, etc.)? 0 t8J

Yes No Does the regulation require small businesses to purchase a product or make any other capital investments in order to comply with the regulation? 0 t8J

Yes No Are performance standards more appropriate than design standards?

0 t8J

Yes No Does the regulation require small businesses to cooperate with audits, inspections, or other regulatory enforcement activities? t8J 0 Yes, small businesses affected by this regulation will be subject to inspections and regulatory enforcement.

Yes No Will the regulation have the effect of creating additional taxes and/or fees for small businesses? 0 t8J

Yes No Does the regulation require small businesses to provide educational services to keep up to date with regulatory requirements? 0 [8:J

Yes No Is the regulation likely to deter the formation of small businesses in Massachusetts? 0 t8J

Yes No Is the regulation likely to encourage the formation of small businesses in Massachusetts?

0 t8J

Yes No Can the regulation provide for less stringent compliance or reporting requirements for

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. 0 [8J small businesses?

Yes No Can the regulation establish less stringent schedules or deadlines for compliance or reporting requirements for small businesses? 0 [8J

Yes No Can the compliance or reporting requirements be consolidated or simplified for small businesses? 0 [8J

Yes No Can performance standards for small businesses replace design or operational standards? 0 [8J

Yes No Are there alternative regulatory methods that would minimize the adverse impact on small businesses? 0 [8J No adverse impact anticipated

Yes No Were any small businesses or small business organizations contacted during the preparation of this document? If so, please describe. 0 [8J

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. Massachusetts State Lottery Commission

STEVEN GROSSMAN BETH BRESNAHAN Treasurer and Receiver General Executive Director

NOTICE OF PUBLIC HEARlNG

The Massachusetts State Lottery Commission will hold a public hearing regarding

an amendment to its current Rules and Regulations. The amendment is authorized by

M.G.L. c.l0§24.

The hearing will take place on April 22, 2014 at 9:00 a.m. at the Headquarters of the

Massachusetts State Lottery Commission, 60 Columbian Street, Braintree, Massachusetts,

02184.

The purpose of the amendment is to amend 961 CMR 2.64 Multi-state Game-

Lucky for Life.

Anyone interested in receiving a copy of the Regulations can do so by contacting

William J. Egan, Jr., General Counsel, 60 Columbian Street, Braintree, Massachusetts,

02184. Written or oral comments in advance of the hearing are welcome. Those expecting

to testify are requested to contact Mr. Egan at (781) 849-5515.

l'JO ~idJ SNOll'fllD3M 31\11S .dO A~\i13~~3S () Supporting the 351 Cities and Towns of Massachusetts 60 ColumbianThe text of Streetthe regulations. Braintree. publishedMassac inhu theset telectronics. 02184-1738 version of• Ttheel: 78Massachusetts1-849-5555 • RegisterFax: 781-8 is 4unofficial9-5547 •andTTY: for 78informational1-849-5678 purposes• www.m assloonly.ttery.com The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. SMALL BUSINESS IMPACT STATEMENT

in order to accurately predict the impact the adoption, amendment, or repeal of a regulation will have on small businesses, the promulgating authority must conduct a thorough analysis that not only considers the potential effects of the action but also quantifies the costs, if any, associated with each. The questions below are designed to aid promulgating authorities in conducting their analysis.

Agency Submitting Regulation: Massachusetts State Lottery Commission

Subject Matter of Regulation: Lucky for Life game

Regulation No: 961 CMR 2.64

Statutory Authority: M.G.L. c. 10, Sections 23 et. seq.

Other Agencies Affected: None

Other Regulations That May Duplicate or Conflict with the Regulation: None

Describe the Scope and Objectives of the Regulation: The Massachusetts State Lottery Commission is amending the regulations to add a section to the online game Lucky for Life.

Business Industry(ies) Affected by the Regulation: Lottery sales agents.

Types of Businesses Included in the lndustry(ies): Retailers, convenience stores, supermarkets, bars and restaurants

Total Number of Small Businesses Included in the Regulated Industry(ies) Please see the attached guidance documents for assistance determining the total number of small businesses: approximately 7463

Number of Small Businesses Potentially Subject to the Proposed Regulation: The same as above.

Effective Date Used In Cost Estimate: March 19,2014

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. Yes No *Note: For each question, please answer 'yes" or "no" and offer a brief explanation. Please describe any facts, data, views, arguments, or other input from small businesses, organizations or any other sources that were used to quantify the impacts outlined below.

Yes No Will small businesses have to create, file, or issue additional reports?

0 ~ The proposed regulation does not have any reporting requirements.

Yes No Will small businesses have to implement additional record keeping procedures?

0 ~

Yes No Will small businesses have to provide additional administrative oversight?

0 ~ The administrative requirements of the proposed regulations are of the type necessary for the normal operation of a business.

Yes No Will small businesses have to hire additional employees in order to comply with the proposed regulation? 0 ~ Small businesses will conduct normal Lottery sales.

Yes No Does compliance with the regulation require small businesses to hire other professionals (e.g. a lawyer, accountant, engineer, etc.)? 0 ~ Small businesses will conduct normal Lottery sales.

Yes No Does the regulation require small businesses to purchase a product or make any other capital investments in order to comply with the regulation? 0 ~ Small businesses will conduct normal Lottery sales.

Yes No Are performance standards more appropriate than design standards?

0 ~ Small businesses will conduct normal Lottery sales.

Yes No Does the regulation require small businesses to cooperate with audits, inspections, or other regulatory enforcement activities? 0 ~ Small businesses will conduct normal Lottery sales.

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. Yes No Will the regulation have the effect of creating additional taxes and/or fees for small businesses? D [8J The proposed regulations do not establish any taxes or fees.

Yes No Does the regulation require small businesses to provide educational services to keep up to date with regulatory requirements? D [8J Small businesses will conduct normal Lottery sales.

Yes No Is the regulation likely to deter the formation of small businesses in Massachusetts?

D [8J Small businesses will conduct normal Lottery sales.

Yes No Is the regulation likely to encourage the formation of small businesses in Massachusetts?

D [8J Small businesses will conduct normal Lottery sales.

Yes No Can the regulation provide for less stringent compliance or reporting requirements for small businesses? D [8J There are no reporting requirements

Yes No Can the regulation establish less stringent schedules or deadlines for compliance or reporting requirements for small businesses? D [8J Small businesses will conduct normal Lottery sales.

Yes No Can the compliance or reporting requirements be consolidated or simplified for small businesses? D [8J The proposed regulations contain no reporting requirements.

Yes No Can performance standards for small businesses replace design or operational standards?

D [8J Small businesses will conduct normal Lottery sales.

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. Yes No Are there alternative regulatory methods that would minimize the adverse impact on small businesses? 0 C8J There will be little impact on small businesses since the proposed regulations bring Massachusetts in line with rest of the New England states

Yes No Were any small businesses or small business organizations contacted during the preparation of this document? If so, please describe. 0 C8J No

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 text of the regulations published in the electronic version 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. 2014 CUMULATIVE TABLE TO THE MASSACHUSETTS REGISTER 1251 - 1258

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: 1997 Register: # 833 1978 138 1998 859 1979 193 1999 885 1980 241 2000 911 1981 292 2001 937 1982 344 2002 963 1983 396 2003 989 1984 448 2004 1016 1985 500 2005 1042 1986 546 2006 1068 1987 572 2007 1094 1988 598 2008 1120 1989 624 2009 1146 1990 650 2010 1172 1991 676 2011 1198 1992 702 2012 1124 1993 729 2013 1250 1994 755 1995 871 1996 Supp. # 2 807

Effective Issue Date

101 CMR Executive Office for Health and Human Services 206.00 Standard Payments to Nursing Facilities - Emergency Re-file (MA Reg. # 1245) ...... 1252 9/27/13 ...... 1255 2/28/14

69 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. Effective Issue Date

306.00 Rates of Payment for Mental Health Services Provided by Community Health Centers and Mental Health Centers - Emergency 1258 3/27/14 346.00 Rates for Certain Substance Abuse Disorder Programs - Emergency Re-file (MA Reg. # 1241) ...... 1254 8/2/13 ...... 1256 3/14/14 349.00 Rates for Early Intervention Program Services - Re-file (MA Reg. # 1250) ...... 1257 12/6/13 351.00 Adult Foster Care - Compliance (MA Reg. # 1250) ...... 1256 11/27/13 348.00 Day Habilitation Program Services - Emergency ...... 1254 2/1/14 411.00 Rates for Certain Placement and Support Services ...... 1257 3/28/14 412.00 Rates for Family Transitional Support Services ...... 1257 3/28/14 418.00 Payments for Youth Short-term Stabilization - Correction (MA Reg. # 1237) ...... 1257 6/21/13 613.00 Health Safety Net Eligible Services - Correction (MA Reg. # 1250) . 1255 1/1/14 - Correction (MA Reg. # 1250) ...... 1257 1/1/14 614.00 Health Safety Net Payments and Funding - Emergency Re-file (MA Reg. # 1245) ...... 1252 10/1/13 Emergency Re-file (MA Reg. # 1245) ...... 1258 10/1/13

103 CMR Department of Correction 924.00 County Correctional Facilities – Security and Control - Emergency . 1256 2/20/14

104 CMR Department of Public Health 30.00 Fiscal Administration...... 1254 2/14/14

105 CMR Department of Public Health 130.000 Hospital Licensure...... 1255 2/28/14 140.000 Licensure of Clinics...... 1251 1/3/14 150.000 Licensing of Long-term Care Facilities ...... 1255 2/28/14 170.000 Emergency Medical Services System ...... 1257 3/28/14 171.000 Massachusetts First Responder Training - Emergency ...... 1258 3/27/14 700.000 Implementation of M.G.L. c. 94C - Emergency ...... 1258 3/27/14 800.000 Requests and Consent for Anatomical Donations ...... 1255 2/28/14

106 CMR Department of Transitional Assistance 705.000 Transitional Cash Assistance Program: Related Benefits ...... 1257 3/28/14

107 CMR Massachusetts Rehabilitation Commission 14.00 Criminal Offender Record Reviews ...... 1253 1/31/14

110 CMR Department of Children and Families 10.00 Fair Hearings and Grievances ...... 1253 1/31/14

70 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. Effective Issue Date

114 CMR Division of Health Care Finance and Policy 114.3 6.00 Rates of Payment for Mental Health Services Provided by Community Health Centers and Mental Health Centers - Emergency 1258 3/27/14 48.00 Day Habilitation Program Services - Emergency ...... 1254 2/1/14 49.00 Rates for Early Intervention Program Services - Emergency ...... 1252 12/20/13 - Emergency Re-file (MA Reg. # 1252)...... 1257 12/20/13 51.00 Adult Foster Care - Compliance (MA Reg. # 1250) ...... 1256 12/2/13 114.4 11.00 Rates for Certain Placement and Support Services ...... 1257 3/28/14 12.00 Rates for Family Transitional Support Services ...... 1257 3/28/14 16.00 Rates for Clubhouse Services - Correction (MA Reg. # 1209) ...... 1255 7/1/12 114.6 14.00 Health Safety Net Payments and Funding - Emergency Re-file (MA Reg. # 1246) ...... 1252 10/1/13 - Emergency Re-file (MA Reg. # 1246) ...... 1258 10/1/13

119 CMR Soldiers’ Home in Holyoke 1.00 Criminal Offender Record Checks ...... 1252 1/17/14

130 CMR Division of Medical Assistance 403.000 Home Health Agency - Correction (MA Reg. # 1247) ...... 1253 11/8/13 - Correction (MA Reg. # 1250) ...... 1255 1/1/14 405.000 Community Health Center - (MA Reg. # 1250) ...... 1255 1/1/14 414.000 Independent Nurse Services - Correction (MA Reg. # 1247) ...... 1253 11/8/13 421.000 Family Planning - Correction (MA Reg. # 1250)...... 1255 1/1/14 429.000 Mental Health Center Services - Emergency ...... 1258 3/27/13 450.000 Administrative and Billing Regulations - Correction (MA Reg. # 1247) ...... 1253 11/8/13 - Correction (MA Reg. # 1250) ...... 1255 1/1/14 501.000 Health Care Reform: MassHealth: General Policies - Correction (MA Reg. # 1250) ...... 1255 1/1/14 502.000 Health Care Reform: MassHealth: The Request for Benefits - Correction (MA Reg. # 1250) ...... 1255 1/1/14 503.000 Health Care Reform: MassHealth: Universal Eligibility Requirements - Correction (MA Reg. # 1250) ...... 1255 1/1/14 504.000 Health Care Reform: Mass Health: Citizenship and Immigration - Correction (MA Reg. # 1250) ...... 1255 1/1/14 505.000 Health Care Reform: MassHealth: Coverage Types - Correction (MA Reg. # 1250) ...... 1255 1/1/14 506.000 Health Care Reform: MassHealth: Financial Requirements - Correction (MA Reg. # 1250) ...... 1255 1/1/14 508.000 Health Care Reform: MassHealth: Managed Care Requirements - Correction (MA Reg. # 1250) ...... 1255 1/1/14 515.000 MassHealth: General Policies - Correction (MA Reg. # 1250) . . . . . 1255 1/1/14

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. Effective Issue Date

516.000 MassHealth: Eligibility Process - Correction (MA Reg. # 1250) . . . . 1255 1/1/14 517.000 MassHealth: Universal Eligibility Requirements - Correction (MA Reg. # 1250) ...... 1255 1/1/14 518.000 MassHealth: Citizenship and Immigration - Correction (MA Reg. # 1250) ...... 1255 1/1/14 519.000 MassHealth: Coverage Types - Correction (MA Reg. # 1250) ...... 1255 1/1/14 520.000 MassHealth: Financial Eligibility - Correction (MA Reg. # 1250) . . . 1255 1/1/14 522.000 MassHealth: Other Division Programs - Correction (MA Reg. # 1250)1255 1/1/14

205 CMR Massachusetts Gaming Commission 3.00 Harness Horse Racing ...... 1253 1/31/14 4.00 Horse Racing ...... 1253 1/31/14 101.00 M.G.L. c. 23K Adjudicatory Proceedings ...... 1253 1/31/14 102.00 Construction and Application ...... 1253 1/31/14 112.00 Required Information and Applicant Cooperation ...... 1253 1/31/14 118.00 Phase 2 Administrative Proceedings - Emergency ...... 1256 2/24/14 121.00 Licensing Fee - Emergency ...... 1256 2/24/14 125.00 Surrounding Communities - Emergency ...... 1258 3/21/14 134.00 Licensing and Registration of Employees, Vendors, Junket Enterprises and Representatives, and Labor Organizations ...... 1253 1/31/14 - Correction (MA Reg. # 1253) ...... 1256 1/31/14

211 CMR Division of Insurance 7.00 Financial Surveillance of Massachusetts Insurance Holding Company Systems ...... 1258 4/11/14 71.00 Medicare Supplement Insurance To Facilitate the Implementation of M.G.L. c. 176K and Section 1882 of the Federal Social Security Act 1255 2/28/14

250 CMR Board of Registration of Professional Engineers and Land Surveyors 3.00 The Registration Process - Correction (MA Reg. # 1248) ...... 1256 11/22/13 6.00 Land Surveying Procedures and Standards - Correction (MA Reg. # 1248) ...... 1251 11/22/13

264 CMR Board of Registration of Real Estate Appraisers 1.00 Disciplinary Proceedings ...... 1251 1/3/14 2.00 General Provisions...... 1251 1/3/14 4.00 Renewal Procedures and Continuing Education Requirements . . . . . 1251 1/3/14 6.00 Practice of Real Estate Appraisal ...... 1251 1/3/14

310 CMR Department of Environmental Protection 15.00 The State Environmental Code, Title 5: Standard Requirements for the Siting, Inspection, Upgrade, and Expansion of On-site Sewage Treatment and Disposal Systems and for the Transport and Disposal of Septage ...... 1251 1/3/14 - Correction (MA Reg. # 1251) ...... 1254 1/3/14 19.000 Solid Waste Management ...... 1253 1/31/14 ...... 1254 2/14/14 40.0000 Massachusetts Contingency Plan ...... 1258 4/11/14 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. Effective Issue Date

314 CMR Division of Water Pollution Control 2.00 Permit Procedure ...... 1251 1/3/14

321 CMR Division of Fisheries and Wildlife 2.00 Miscellaneous Regulations Relating to Fisheries and Wildlife ...... 1251 1/3/14 3.00 Hunting ...... 1258 4/11/14 4.00 Fishing ...... 1258 4/11/14 9.00 Exotic Wildlife...... 1251 1/3/14 - Correction (MA Reg. # 1251) ...... 1253 1/3/14

430 CMR Division of Unemployment Assistance 5.00 Employer Requirement Series - Emergency ...... 1258 3/27/14

520 CMR Department of Public Safety 15.00 Permitting of Ice Cream Truck Vendors ...... 1255 2/28/14

527 CMR Board of Fire Prevention Regulations 6.00 Liquified Petroleum Gas Containers and Systems - Emergency ..... 1251 12/20/13 - Compliance (MA Reg. # 1251) ...... 1257 12/20/13 12.00 Massachusetts Electrical Code - Emergency ...... 1256 2/28/14 40.00 Inspection, Testing and Maintenance of Water-Based Fire Protection Systems...... 1257 3/28/14

603 CMR Department of Elementary and Secondary Education 1.00 Charter Schools ...... 1258 4/11/14 7.00 Educator Licensure and Preparation Program Approval ...... 1254 2/14/14 28.00 Special Education ...... 1258 4/11/14 35.00 Evaluation of Educators...... 1251 1/3/14 48.00 Innovation Schools ...... 1258 4/11/14 51.00 Criminal History Checks for School Employees ...... 1251 1/3/14

606 CMR Department of Early Education and Care 14.00 Criminal Offender and Other Background Record Checks - Emergency ...... 1251 12/12/13 - Compliance (MA Reg. # 1251) ...... 1257 12/12/13

700 CMR Massachusetts Department of Transportation 8.00 Permitting, Operation, and Transport of Overdimensional Loads and Certain Vehicle Trailer Combinations on Certain Massachusetts Department of Transportation Roadways ...... 1253 1/31/14

73 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. Effective Issue Date

720 CMR Department of Highways 7.00 Department of Highways Policy for Permitting Operation on State Highways of Vehicles With Overweight Reducible Loads and for Permitting of Certain Vehicle Trailer Combination to Transport Reducible Loads ...... 1253 1/31/14

780 CMR Board of Building Regulations and Standards 1.00 Scope and Administration ...... 1258 4/11/14 2.00 Definitions ...... 1258 4/11/14 5.00 General Building Heights and Areas ...... 1258 4/11/14 9.00 Fire Protection Systems ...... 1258 4/11/14 16.00 Structural Design - Correction (MA Reg. # 1249) ...... 1253 12/6/13 34.00 Existing Structures...... 1258 4/11/14 35.00 Referenced Standards ...... 1253 1/31/14 51.00 Massachusetts Residential Code ...... 1253 1/31/14 ...... 1253 1/31/14

801 CMR Executive Office for Administration and Finance 4.00 Rates...... 1253 1/31/14 ...... 1253 1/31/14 51.00 Generating New State Tax Revenues and Local Tax Revenues by Stimulating Sustainable Economic Development Through Infrastructure Improvements ...... 1254 2/14/14

807 CMR Teachers’ Retirement Board 23.00 Effective Date of Service Purchase Interest Rate - Emergency ...... 1251 12/20/13 Emergency Re-file (MA Reg. # 1251) ...... 1257 12/20/13

815 CMR Comptroller’s Division 9.00 Debt Collection and Intercept - Emergency Re-file (MA Reg. # 1241) 1253 8/2/13

930 CMR State Ethics Commission 6.00 Exemptions Unrelated to Gifts ...... 1253 1/31/14 - Correction (MA Reg. # 1253) ...... 1255 1/31/14

940 CMR Office of the Attorney General 14.00 Compensation of Victims of Violent Crimes ...... 1252 1/17/14

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 ...... 1251 1/3/14

74 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. Effective Issue Date

956 CMR Commonwealth Health Insurance Connector Authority 8.00 Student Health Insurance Program ...... 1251 1/3/14 12.00 Eligibility, Enrollment and Hearing Process for ConnectorCare . . . . 1251 1/3/14

958 CMR Health Policy Commission 3.000 Health Insurance Consumer Protection ...... 1256 3/14/14

961 CMR State Lottery Commission 2.00 Rules and Regulations - Compliance (MA Reg. # 1247) ...... 1251 10/19/13 - Emergency ...... 1253 1/19/14 - Compliance (MA Reg. # 1253) ...... 1258 1/19/14 ...... 1256 3/14/14 - Emergency ...... 1258 3/20/14

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.

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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 # 76

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 101 CMR 306.00

CHAPTER TITLE: Rates of Payment for Mental Health Services Provided in Community Health Centers and Mental Health Centers AGENCY: Executive Office for Health and Human Services

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. These amendments are being made to implement the requirements of St. 2013, c.118, §32, G.L. 118E, §13D, and guidance from CMS regarding federal National Correct Coding Initiative (NCCI). It also requires updates of mental health center rates, which includes rates for behavioral health services in community health centers, effective January 1, 2014. Pursuant to M.G.L. c. 118E, § 13D, EOHHS is required to review rates at least biennially for these non-institutional providers.

REGULATORY AUTHORITY: M.G.L. c. 118E and 12C

AGENCY CONTACT: Deborah Briggs PHONE: 617-847-3302

ADDRESS: 100 Hancock Street, 6th Floor, Quincy, MA 02171

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

EMERGENCY ADOPTION - if this regulation is adopted as an emergency, state the nature of the emergency. 101 CMR 306.00 is being promulgated as an emergency regulation, replacing 114.3 CMR 6.00, to ensure compliance with St. 2013, c.118, §32, requiring rates to be effective for dates of service beginning January 1, 2014.

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: March 25, 2014

PUBLIC REVIEW - M.G.L. c. 30A sections 2 and/or 3 requires notice of the hearing or comment period, including a small business impact statement, 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: May 5, 2014

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 78 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: Inc.spending: $1.22M: FY14 and $2.555M: FY15.

For the first five years: See above – rates promulgated only through 2015.

No fiscal effect:

SMALL BUSINESS IMPACT - M.G.L. c. 30A section 5 requires each agency to file an amended small business impact statement with the Secretary of the Commonwealth prior to the adoption of a proposed regulation. If the purpose of this regulation is to set rates for the state, this section does not apply.

Date amended small business impact statement was filed: 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: 101 CMR 306.00 is being adopted.

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: Mar 27 2014

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1258 DATE: 04/11/2014

EFFECTIVE DATE: 03/27/2014

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: This is an emergency There are no replacement regulation. pages.

03/27/2014 kr

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 79 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 101 CMR: EXECUTIVE OFFICE OF HEALTH AND HUMAN SERVICES

(101 CMR 305.00: RESERVED)

4/11/14 (Effective 3/27/14) 509 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. 101 CMR: EXECUTIVE OFFICE OF HEALTH AND HUMAN SERVICES

NON-TEXT PAGE

4/11/14 (Effective 3/27/14) 510 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. 101 CMR: EXECUTIVE OFFICE OF HEALTH AND HUMAN SERVICES

101 CMR 306.00: RATES OF PAYMENT FOR MENTAL HEALTH SERVICES PROVIDED IN COMMUNITY HEALTH CENTERS AND MENTAL HEALTH CENTERS

Section

306.01: General Provisions 306.02: General Definitions 306.03: Rate Provisions 306.04: Reporting Requirements and Sanctions 306.05: Severability

306.01: General Provisions

(1) Scope, Purpose and Effective Date. 101 CMR 306.00 governs the rates effective January 1, 2014, to be used by all governmental units and worker's compensation insurers for outpatient mental health services provided by mental health centers and community health centers, including services provided in nursing facilities. 101 CMR 306.00 does not govern rates for Psychological Testing services, which are governed by 114.3 CMR 29.00: Psychological Services. In addition, 101 CMR 306.00 does not govern rates for other services, care and supplies provided by mental health center and community health centers to publicly-aided and industrial accident patients, including, but not limited to, psychiatric day treatment services, early intervention services, and medical services provided in community health centers.

(2) Disclaimer of Authorization of Services. 101 CMR 306.00 is not authorization for or approval of the procedures for which rates are determined pursuant to 101 CMR 306.00. Purchasing agencies and insurers are responsible for the definition, authorization, and approval of care and services extended to publicly-aided clients.

(3) Administrative Bulletins. EOHHS may issue administrative bulletins to clarify its policy on and understanding of substantive provisions of 101 CMR 306.00.

306.02: General Definitions

Meaning of Terms. In addition to the general definitions contained in 101 CMR 306.00 terms used in 101 CMR 306.00 shall have the meaning ascribed in 101 CMR 306.02.

Case Consultation. Environmental intervention for medical management purposes on a psychiatric patient's behalf with agencies, employers or institutions which may include the preparation of reports of the patient's psychiatric status, history, treatment or progress (other than for legal purposes) for other physicians, agencies or insurance carriers.

Child and Adolescent Needs and Strengths (CANS). A tool that provides a standardized way to organize information gathered during a psychiatric diagnostic assessment and is a treatment and service decision support tool for children and adolescents under the age of 21.

Community Consultation and Education. Services provided by professional personnel to representatives of schools, courts, police, organizations, or agencies with the aim of problem solving and imparting knowledge in areas such as prevention, availability of resources and clinical procedures. Such consultation is distinct from case consultation in that it does not address the problems of a particular patient but rather the community at large.

Community Health Center. A clinic which provides comprehensive ambulatory services and which is not financially or physically an integral part of a hospital.

Community Mental Health Center. A clinic which provides comprehensive ambulatory mental health services and which is not financially or physically an integral part of a hospital.

Counselor. An individual who has earned a master's degree in Counseling from a recognized educational program and who also meets conditions of participation which have been or may be adopted by a governmental unit purchasing mental health services from eligible providers or by purchasers of such services under M.G.L. c. 152.

4/11/14 (Effective 3/27/14) 511 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. 101 CMR: EXECUTIVE OFFICE OF HEALTH AND HUMAN SERVICES

306.02: continued

Diagnostic Services. A session between a client and one or more staff members who are authorized to render billable mental health services as defined in 101 CMR 306.00, for the determination and examination by interview techniques of a patient's physical, psychological, social, economic, educational and vocational assets and disabilities for the purpose of developing a diagnostic formulation and designing a treatment plan and procedures by a qualified staff member in order to evaluate aspects of an individual's functioning, including aptitudes, educational achievements, cognitive processes, emotional conflicts, and type and degree of psychopathology. These tests must be published, valid, and in general use as defined by listing in the Mental Measurement Yearbook or by conformity to the Standards for Educational and Psychological tests of the American Psychological Association.

Eligible Provider. A mental health center or community health center which meets the conditions of participation that have been or may be adopted by a governmental unit purchasing mental health services or by purchasers under M.G.L. c. 152.

Emergency Services. Services providing immediate face to face mental health evaluation, diagnosis, hospital prescreening, treatment, and arrangements for further care and assistance as required, up to 24 hours a day, seven days a week, to individuals showing sudden, incapacitating emotional stress.

EOHHS. The Executive Office of Health and Human Services established under M.G.L. c. 6A.

Family Consultation. A preplanned meeting of at least ½ hour with the parent or parents of a child who is being treated at the center when the parent or parents are not clients of the center.

Family Therapy. The treatment of more than one member of a family unit at the same time in the same session by one or more authorized staff members. At least one of the family members must be an identified patient of the clinic program.

Governmental Unit. The Commonwealth of Massachusetts, or any of its departments, agencies, boards, commissions or political subdivisions.

Group Therapy. A treatment session conducted by one or more authorized staff members for the application of psychotherapeutic or counseling techniques to a group of people, most of whom are not related by blood, marriage, or legal guardianship. The group shall not include more than ten individuals.

Individual Consideration. Payment rates to eligible providers for services authorized in accordance with 101 CMR 306.03(2), but not listed herein, or authorized services performed in exceptional circumstances shall be determined on an Individual Consideration basis by the governmental unit or purchaser under M.G.L. c. 152 upon receipt of a bill which describes the services rendered. The determination of rates of payment for authorized Individual Consideration procedures shall be in accordance with the following criteria: (a) Time required to perform the service; (b) Degree of skill required for service rendered; (c) Severity and/or complexity of the client's disorder or disability; (d) Policies, procedures, and practices of other third party purchasers of care; (e) Such other standards and criteria as may be adopted from time to time by EOHHS pursuant to 101 CMR 306.03(4).

Individual Therapy. A therapeutic meeting between a patient alone and one or more authorized staff members to help ameliorate emotional problems, conflicts, and disturbances.

Medication Visit. A recipient visit to the center specifically for prescription, review, and monitoring of medication by a psychiatrist or a psychiatric nurse mental health clinical specialist, or administration of prescribed intramuscular medication by qualified personnel.

Modifiers. Listed services may be modified under certain circumstances. When applicable, the modifying circumstances should be identified by the addition of the appropriate two digit number or letters.

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306.02: continued

Multiple Family Group Therapy. The treatment of more than one family unit at the same time in the same session by one or more authorized staff members. There is more than one family member present per family unit and at least one of the family members per family unit must be an identified patient of the clinic program.

Occupational Therapist. An individual who is registered with the American Occupational Therapy Association and who also meets the conditions of participation which have been or may be adopted by a governmental unit purchasing mental health services from eligible providers or by purchasers of such services under M.G.L. c. 152.

Psychiatric Nurse. An individual who is currently registered by the Massachusetts Board of Registration in Nursing and who has earned a master's degree from an accredited graduate school of psychiatric nursing or who meets the conditions of participation which have been or may be adopted by a governmental unit purchasing mental health services from eligible providers or by purchasers of such services under M.G.L. c. 152.

Psychiatric Nurse Mental Health Clinical Specialist. A licensed registered nurse who is authorized by the board of Registration in Nursing as practicing in an expanded role and who meets the requirements of 244 CMR 4.13(3): Psychiatric Nurse Mental Health Clinical Specialist.

Psychiatric Social Worker. An individual who has earned a Master's degree from an accredited graduate school of social work or who meets the conditions of participation which have been or may be adopted by a governmental unit purchasing mental health services from eligible providers or by purchasers of such services under M.G.L. c. 152.

Psychiatrist. An M.D. who is registered in Massachusetts and who is certified or eligible for certification by the American Board of Psychiatry and Neurology or who meets such conditions of participation as have been or may be adopted by a governmental unit purchasing mental health services from eligible providers or by purchasers of such services under M.G.L. c. 152.

Psychological Associate. Staff member trained in the field of clinical or counseling psychology or a closely related specialty who: (a) have a minimum of a master's degree or the equivalent graduate study in clinical or counseling psychology or a closely related specialty from an accredited educational institution; (b) are currently enrolled in or have completed a doctoral program in clinical or counseling psychology or a closely related specialty; and (c) have had two years of full time supervised clinical experience subsequent to obtaining a master's degree in a multidisciplinary mental-health setting. (One year of supervised clinical work in an organized graduate internship program may be substituted for each year of experience.)

Psychologist. An individual who by training and experience meets the requirements for licensing by the Massachusetts Board of Registration of Psychologists and is duly licensed to practice psychology in the Commonwealth or who meets the requirements of education and experience in psychology that have been or may be adopted by a governmental unit purchasing mental health services from eligible providers or by purchasers of such services under M.G.L. c 152.

Psychotherapy in Crisis. An urgent assessment and history of a crisis state, a mental status exam, and a disposition. The treatment includes psychotherapy, mobilization of resources to defuse the crisis and restore safety, and implementation of psychotherapeutic interventions to minimize the potential for psychological trauma.

Publicly-aided Individual. A person for whose medical and other services a governmental unit is in the whole or in part liable under a statutory program.

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306.02: continued

Reevaluation. A session between a client and one or more staff members who are authorized to render mental health services for the determination and examination by interview techniques of a patient's physical, psychological, social, economic, educational and vocational assets and disabilities for the purpose of reevaluating the diagnostic formulation, treatment plan and procedures in order to assess aspects of an individual's functioning.

Staff Member Authorized to Render Billable Mental Health Services. An individual who provides the services referred to in 101 CMR 306.00 under the auspices of an eligible provider and meets the qualifications of any of the following professions: psychiatrist, psychologist, psychological associate, social worker, psychiatric nurse, psychiatric nurse mental health clinical specialist, counselor or occupational therapist. This also includes staff members meeting the qualifications which have been or may be adopted by a governmental unit purchasing mental health services from eligible providers or by purchasers of such services under M.G.L. c. 152.

State-operated Community Mental Health Center. A community mental health center operated by the Commonwealth, which is not financially or physically an integral part of a hospital.

Uniform Financial Statements and Independent Auditor's Report (UFR). The Uniform Financial Statements and Independent Auditor's Report is the set of financial statements and schedules required of many human, social service and health care providers who deliver services to publicly-aided clients

306.03: Rate Provisions

(1) Rates as Full Compensation. The rates under 101 CMR 306.00 shall constitute full compensation for mental health services provided by community health centers and mental health centers to publicly aided and industrial accident patients, including full compensation for necessary administration and professional supervision associated with patient care.

(2) Rates of Payment. Except as otherwise provided in 101 CMR 306.03(5)(c), payment rates under 101 CMR 306.00 shall be the lower of: (a) the Eligible Provider's usual charge to the general public; or (b) the schedule of allowable rates for services provided by mental health centers and community health centers as set forth in 101 CMR 306.03(5)(a).

(3) Child and Adolescent Needs and Strengths (CANS). Psychiatric Diagnostic Interview Examination for Children and Adolescents Under the Age of 21. Eligible clinicians who complete the CANS for a MassHealth child or adolescent under the age of 21 during a psychiatric diagnostic interview examination must use procedure code 90791 accompanied by a modifier -HA to bill for the service.

(4) Modifiers. (a) -25: Significant, separately identifiable Evaluation and Management Service by the same physician or other qualified health professional on the same day of the procedure or other service. Modifier 25 applies to two E/M services provided on the same day. (b) 59: Distinct Procedure Service. To identify a procedure distinct or independent from other services performed on the same day add the modifier '-59' to the end of the appropriate service code. Modifier '-59' is used to identify services/procedures that are not normally reported together, but are appropriate under certain circumstances. However when another already established modifier is appropriate, it should be used rather than modifier '-59.' (c) -SA: Nurse Practitioner rendering service in collaboration with a physician. (This modifier is to be applied to service codes billed by the mental health center which were performed by a psychiatric nurse mental health clinical specialist.)

(5) Fee Schedule. Rates for community health centers and mental health centers. (a) The payment rates for mental health services provided by mental health centers and community health centers are as follows:

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306.03: continued

Rate Rate Service Effective Effective Service Description Code 1/1/2014 1/1/2015

90791 $93.51 $94.18 Psychiatric diagnostic evaluation

90791-HA $100.85 $100.85 Psychiatric diagnostic evaluation performed with a CANS (Children and Adolescent Needs and Strengths)

90832 $36.11 $36.37 Psychotherapy, 30 minutes with patient and/or family member

90833 $36.11 $36.37 Psychotherapy, 30 minutes with patient and/or family member when performed with an evaluation and management service (List separately in addition to the code for primary procedure.)

90834 $72.21 $72.73 Psychotherapy, 45 minutes with patient and/or family member

90836 $72.21 $72.73 Psychotherapy, 45 minutes with patient and/or family member when performed with an evaluation and management service (List separately in addition to the code for primary procedure.)

90839 $163.96 $165.16 Psychotherapy in crisis up to 74 minutes

90840 $81.98 $82.58 Psychotherapy in crisis 30 minutes (not to exceed two units in one day following 90839)

90847 $76.73 $77.28 Family psychotherapy (conjoint psychotherapy) (with patient present)

90849 $24.11 $24.29 Multiple-family group psychotherapy (per person per session not to exceed ten clients)

90853 $24.11 $24.29 Group psychotherapy (other than multiple-family group)( per person per session not to exceed ten clients)

90882 $62.54 $62.99 Environmental intervention for medical management purposes on a psychiatric patient's behalf with agencies, employers, or institutions

90887 $38.92 $39.20 Interpretation or explanation of results of psychiatric, or other medical examinations and procedures, or other accumulated data to family or other responsible persons, or advising them how to assist patient (per one-half hour)

90889 $37.61 $37.88 Preparation of report of patient's psychiatric status, history, treatment, or progress (other than for legal or consultative purposes) for other physicians, agencies, or insurance carriers (per one-half hour)

S9485 $488.00 $488.00 Emergency Services Program (ESP). The ESP provides crisis assessment, intervention, and stabilization services 24 hours per day, seven days per week, and 365 days per year, to individuals of all ages who are experiencing a behavioral health crisis. The purpose of the ESP is to respond rapidly, assess effectively, and deliver a course of treatment intended to promote recovery, ensure safety, and stabilize the crisis in a manner that allows an individual to receive medically necessary services in the community, or if medically necessary, in an inpatient or 24-hour diversionary level of care. (per 24 hour encounter)

$57.89 $58.30 Community Consultation and Education (per hour)

$85.83 $85.83 Reevaluation (per hour)

Rates as Rates as Psychological Testing indicated in indicated in 101 CMR 101 CMR 306.01(1) 306.01(1)

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306.03: continued

(b) The payment rates for mental health services provided by a Mental Health Center in a nursing facility are as follows:

Rate Rate Service Effective Effective Service Description Code 1/1/2014 1/1/2015

90791 $93.51 $94.18 Psychiatric diagnostic evaluation

90832 $36.11 $36.37 Psychotherapy, 30 minutes with patient and/or family member

90833 $36.11 $36.37 Psychotherapy, 30 minutes with patient and/or family member when performed with an evaluation and management service (List separately in addition to the code for primary procedure.)

90834 $72.21 $72.73 Psychotherapy, 45 minutes with patient and/or family member

90836 $72.21 $72.73 Psychotherapy, 45 minutes with patient and/or family member when performed with an evaluation and management service (List separately in addition to the code for primary procedure.)

90839 $163.96 $165.16 Psychotherapy in crisis up to 74 minutes

90840 $81.98 $82.58 Psychotherapy in crisis 30 minutes (not to exceed two units in one day following 90839)

90847 $76.73 $77.28 Family psychotherapy (conjoint psychotherapy) (with patient present) (includes residential care setting)

90849 $24.11 $24.29 Multiple-family group psychotherapy (per person per session not to exceed ten clients)

90853 $24.11 $24.29 Group psychotherapy (other than multiple-family group)(per person per session not to exceed ten clients)

90882 $62.54 $62.99 Environmental intervention for medical management purposes on a psychiatric patient's behalf with agencies, employers, institutions (includes residential care setting)

90887 $38.92 $39.20 Interpretation or explanation of results of psychiatric, or other medical examinations and procedures, or other accumulated data to family or other responsible persons, or advising them how to assist patient (includes residential care setting) (per one-half hour)

(c) Rates for Medication Visit. Services for Medication Visit shall be billed using the appropriate Evaluation and Management code: 99201-99205, 99211-99215, 99304-99310, 99324-99328, 99334-99337, 99341-99345, and 99347-99350. Definitions, payment rules and rates for these services are contained in 101 CMR 317.00: Medicine. (d) The allowable fee for payment for covered E/M services provided by a practitioner other than a psychiatrist is 85% of the fees described in 101 CMR 306.03(5)(a) through (c). (e) Rates for state-operated community mental health centers. A state-operated community mental health center will be paid at rates based on that center's reasonable cost of providing covered services to eligible MassHealth members. 1. The methodology set forth below governs rates for non-ESP services provided by a state-operated community mental health center between June 1, 2008 and June 30, 2009. a. Initial Payments. Initial payments will be made at the rates in effect on the date of service.

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306.03: continued

b. Preliminary Reconciliation. There will be a preliminary reconciliation for each state-operated community mental health center based on the difference between the Initial Payments and payments based on rates calculated using the center's preliminary projected FY2009 reasonable costs. In order to determine the preliminary projected FY2009 reasonable costs, EOHHS will review costs reported in the FY2008 UFR by each state-operated community mental health center, and apply a cost adjustment factor based on the Massachusetts Consumer Price Index. c. Final Reconciliation. There will be a final reconciliation for each state-operated community mental health center based on the difference between total payments pursuant to the Preliminary Reconciliation and payments based rates calculated using the center's reported reasonable costs for the rate period. In order to determine the reported reasonable costs, EOHHS will review costs reported in the FY2009 UFR by each state-operated community mental health center. 2. Rates effective July 1, 2009. Payments for services provided effective July 1, 2009 will be determined as follows: a. Initial Payments. Initial payments will be based on rates calculated by applying a cost adjustment factor to the reasonable costs reported by each center in its most recently submitted UFR. b. Final Reconciliation. For each fiscal year beginning July 1, 2009, there will be a final reconciliation for each state-operated community mental health center based on the difference between the Initial Payments and payments based on rates calculated using the center's final reasonable costs for that fiscal year. In order to determine the final reasonable costs, EOHHS will review the costs reported in each center's UFR submitted for that fiscal year.

(4) Coding Updates and Corrections. EOHHS may publish procedure code updates and corrections in the form of an Administrative Bulletin. The publication of such updates and corrections will list: (a) codes for which the code numbers only changed, with the corresponding cross-walk; (b) codes for which the code remains the same but the description has changed; (c) deleted codes for which there is no cross-walk. In addition, for entirely new codes which require new pricing, EOHHS will list these codes and apply Individual Consideration in reimbursing these new codes until rates are established.

(5) Billing. Each clinic shall bill the governmental unit according to the appropriate fee schedule on a prescribed form. Each specific service must be separately enumerated on the bill.

306.04: Reporting Requirements and Sanctions

(1) Annual Reports. Each Eligible Provider must file an annual, and complete Uniform Financial Report in accordance with the filing requirements of the Operational Services Division as specified in its Audit and Preparation Manual. (a) Community Health Centers that are Eligible Providers must file a complete and accurate Community Health Center Cost Schedules within the UFR, making the required allocations for mental health costs and services. (b) Additional Information. Eligible Providers must file such additional information as EOHHS may from time to time reasonably require.

(2) Failure to File Required Reports. EOHHS may reduce an Eligible Provider's payment rate if the Provider fails to submit accurate and timely information as required above. EOHHS may reduce the Provider's rate by 5% per month of non-compliance, not to exceed 50%. If the Provider has not filed the required data at such time as EOHHS adopts revised payment rates that are higher than the penalty-adjusted current rates, the Provider's rates will not be increased. If the revised rates are lower than the penalty-adjusted current rates, the revised rate will become effective and subject to further penalty for non-compliance. EOHHS may also notify the governmental purchasing agency of the Provider's failure to submit required data and request that the Provider be removed from the purchasing agency's list of Eligible Providers.

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306.04: continued

(3) Mergers, Acquisitions, Other Transfers. A provider involved in a merger, buy out, acquisition, purchase, pooling of interest or other arrangement involving the transfer of business will be treated as a single provider for the purposes of 101 CMR 306.04. All compliance liabilities of the transferor shall be the responsibility of the transferee.

306.05: Severability

The provisions of 101 CMR 306.00 is severable, and if any provision of 101 CMR 306.00 or application of such provision to any mental health center or community health center or any circumstances shall be held to be invalid or unconstitutional, such invalidity shall not be construed to affect the validity or constitutionality of any remaining provisions of 101 CMR 306.00 or application of such provisions to mental health centers or community health centers or circumstances other than those held invalid.

REGULATORY AUTHORITY

101 CMR 306.00: M.G.L. c. 118E and M.G.L. c. 152 § 13.

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(101 CMR 307.00 THROUGH 309.00: RESERVED)

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(PAGES 521 THROUGH 600 ARE RESERVED FOR FUTURE USE.)

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THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 101 CMR 614.00

CHAPTER TITLE: Health Safety Net Payments and Funding

AGENCY: Executive Office for Health and Human Services

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. These amendments update Health Safety Net payments and funding provisions for HSN FY14. Updates include standard payment rate updates, an increase to the HSN payer surcharge and hospital assessment to cover HSN administrative costs, and updated language to account for changes to programs operated by the Health Connector under ACA. The regulation also clarifies that direct payments made under an employer-funded health care reimbursement arrangement are subject to the HSN surcharge, and that the special payment to pediatric hospitals is limited to Children's Hospital Boston.

REGULATORY AUTHORITY: M.G.L. c. 118E; M.G.L. c. 12C

AGENCY CONTACT: Deborah Briggs, MassHealth Publications PHONE: 617-847-3302

ADDRESS: 100 Hancock Street, 6th Floor, Quincy, MA 02171

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

EMERGENCY ADOPTION - if this regulation is adopted as an emergency, state the nature of the emergency. M.G.L. c. 118E, s. 69 requires HSN to pay providers based on Medicare payments; payments must be updated to reflect Medicare changes. Also, the FY14 budget expanded the Total Hospital Assessment and Surcharge amounts to include HSN administrative expenses. These updates must be in place for the start of FY14. This regulation is being repealed to transfer the updated regs to EOHHS. 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: 10/1/13

PUBLIC REVIEW - M.G.L. c. 30A sections 2 and/or 3 requires notice of the hearing or comment period, including a small business impact statement, 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: n/a

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 81 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: 1st year increase to state of $10 million

For the first five years:

No fiscal effect:

SMALL BUSINESS IMPACT - M.G.L. c. 30A section 5 requires each agency to file an amended small business impact statement with the Secretary of the Commonwealth prior to the adoption of a proposed regulation. If the purpose of this regulation is to set rates for the state, this section does not apply.

Date amended small business impact statement was filed: n/a

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: This regulation updates the Health Safety Net Payments and Funding regs and adopts them as a new EOHHS reg, 101 CMR 614.00. At the same time, in a separate action, the former DHCFP reg, 114.6 CMR 14.00, is being repealed.

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: Mar 27 2014

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1258 DATE: 04/11/2014

EFFECTIVE DATE: 10/01/2013

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: This is an emergency There are no replacement regulation. pages.

03/27/2014 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 82 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 101 CMR: EXECUTIVE OFFICE OF HEALTH AND HUMAN SERVICES

101 CMR 614.00: HEALTH SAFETY NET PAYMENTS AND FUNDING

Section

614.01: General Provisions 614.02: Definitions 614.03: Sources and Uses of Funds 614.04: Total Hospital Assessment Liability 614.05: Surcharge Payments 614.06: Payments to Hospitals 614.07: Payments to Community Health Centers 614.08: Reporting Requirements 614.09: Special Provisions

614.01: General Provisions

(1) Scope, Purpose and Effective Date. 101 CMR 614.00 governs payments to and from the Health Safety Net Trust Fund (Health Safety Net or HSN) effective October 1, 2013, including payments to acute Hospitals and Community Health Centers and payments from acute Hospitals and Surcharge Payers. 114.6 CMR 13.00: Health Safety Net Eligible Services specifies the criteria for determining the services for which Hospitals and Community Health Centers may be paid from the Health Safety Net Trust Fund.

(2) Authority. 101 CMR 614.00 is adopted pursuant to M.G.L. c. 118E.

614.02: Definitions

Meaning of Terms. As used in 101 CMR 614.00, unless the context otherwise requires, terms have the following meanings. All defined terms in 101 CMR 614.00 are capitalized.

340B Provider. A Hospital or Community Health Center eligible to purchase discounted drugs through a program established by § 340B of United States Public Law 102-585, the Veterans Health Act of 1992, permitting certain grantees of federal agencies access to reduced cost drugs for their patients, and is registered and listed as a 340B Provider within the United States Department of Health and Human Services, Office of Pharmacy Affairs (OPA) database. 340B pharmacy services may be provided at on-site or off-site locations.

Administrative Day. A day of inpatient hospitalization on which a Patient's care needs can be provided in a setting other than an acute inpatient Hospital and on which the patient is clinically ready for discharge.

Allowable Reimbursement. Payments to Acute Hospitals and Community Health Centers for health services provided to uninsured residents of the Commonwealth as further defined in 114.6 CMR 13.00: Health Safety Net Eligible Services.

Ambulatory Surgical Center. Any distinct entity that operates exclusively for the purpose of providing surgical services to patients not requiring hospitalization and meets the Centers for Medicare and Medicaid Services (CMS) requirements for participation in the Medicare program.

Ambulatory Surgical Center Services. Services described for purposes of the Medicare program pursuant to 42 USC § 1395k(a)(2)(F)(I). These services include only facility services and do not include physician fees.

Center. The Center for Health Information and Analysis established under M.G.L. c. 12C.

Centers for Medicare and Medicaid Services (CMS). The federal agency which administers Medicare, Medicaid, and the State Children's Health Insurance Program.

Charge. The uniform price for a specific service charged by a Hospital or Community Health Center.

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614.02: continued

Community Health Center. A health center operating in conformance with the requirements of Section 330 of United States Public Law 95-926, including all Community Health Centers which file cost reports with the Center. Such a health center must: (a) Be licensed as a freestanding clinic by the Massachusetts Department of Public Health pursuant to M.G.L. c. 111, § 51; (b) Meet the qualifications for certification (or provisional certification) by the Office of Medicaid and enter into a Provider agreement pursuant to 130 CMR 405.000: Community Health Center Services; and (c) Operate in conformance with the requirements of 42 U.S.C. § 254(c).

Disproportionate Share Hospital (DSH). A Hospital where a minimum of 63% of the Gross Patient Service Revenue is attributable to Title XVIII and Title XIX of the Social Security Act, other government payers, including Commonwealth Care and the Health Safety Net.

Eligible Services. Reimbursable Health Services for which Providers may submit a claim for Health Safety Net Payments in accordance with 114.6 CMR 13.00: Health Safety Net Eligible Services. Eligible Services include Eligible Services to Low Income Patients that meet the criteria in 114.6 CMR 13.03: Eligible Service Requirements; Medical Hardship services that meet the criteria in 114.6 CMR 13.04: Eligible Services to Low Income Patients; and Bad Debt that meets the criteria in 114.6 CMR 13.05: Medical Hardship Services.

Emergency Bad Debt. The amount of uncollectible debt for emergency services that meets the criteria set forth in 114.6 CMR 13.05: Medical Hardship Services.

Federal Poverty Level (FPL). The Federal poverty income guidelines issued annually in the Federal Register.

Financial Requirements. A Hospital's requirement for revenue which shall include, but not be limited to, reasonable operating, capital and working capital costs, and the reasonable costs associated with changes in medical practice and technology.

Fiscal Year (FY). The time period of 12 months beginning on October 1st of any calendar year and ending on September 30th of the following calendar year.

Governmental Unit. The Commonwealth, any department, agency board, or commission of the Commonwealth, and any political subdivision of the Commonwealth.

Gross Patient Service Revenue (GPSR). The total dollar amount of a Hospital's charges for services rendered in a Fiscal Year.

Guarantor. A person or group of persons who assumes the responsibility of payment for all or part of a Hospital's or Community Health Center's charge for services.

Health Safety Net Office. The Office within the Office of Medicaid established under M.G.L. c. 118E, § 65.

Health Safety Net Trust Fund. The fund established under M.G.L. c. 118E, § 66 to pay Hospitals and Community Health Centers for health services provided to low income uninsured and underinsured individuals.

Health Services. Medically necessary inpatient and outpatient services as mandated under Title XIX of the Federal Social Security Act. Health services shall not include: (a) nonmedical services, such as social, educational and vocational services; (b) cosmetic surgery; (c) canceled or missed appointments; (d) telephone conversations and consultations; (e) court testimony;

4/11/14 (Effective 10/1/13) 1130 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. 101 CMR: EXECUTIVE OFFICE OF HEALTH AND HUMAN SERVICES

614.02: continued

(f) research or the provision of experimental or unproven procedures including, but not limited to, treatment related to sex-reassignment surgery and pre-surgery hormone therapy; and (g) the provision of whole blood, but the administrative and processing costs associated with the provision of blood and its derivatives shall be payable.

Hospital. An acute Hospital licensed under M.G.L. c. 111, § 51 that contains a majority of medical-surgical, pediatric, obstetric and maternity beds, as defined by the Department of Public Health.

Hospital Services. Services listed on an acute Hospital's license by the Department of Public Health. This does not include services provided in transitional care units; services provided in skilled nursing facilities; and home health services, or separately licensed services, including residential treatment programs and ambulance services.

Indirect Payment. A payment made by an entity licensed or approved under M.G.L. chs.175, 176A, 176B, 176G, or 176I to a group of Providers, including one or more Massachusetts acute care Hospitals or Ambulatory Surgical Centers, that then forward the payment to member Hospitals or Ambulatory Surgical Centers; or a payment made to an individual to reimburse him or her for a payment made to a Hospital or Ambulatory Surgical Center.

Individual Payer. A patient or Guarantor who pays his or her own Hospital or Ambulatory Surgical Center bill and is not eligible for reimbursement from an insurer or any other source.

Institutional Payer. A Surcharge Payer that is an entity other than an Individual Payer.

Low Income Patient. A patient who meets the criteria in 114.6 CMR 13.04(1): General.

Managed Care Organization. A managed care organization, as defined in 42 CFR 438.2, and any eligible health insurance plan, as defined in M.G.L. c. 118H, § 1 of that contracts with MassHealth or the Commonwealth Health Insurance Connector Authority; provided, however, that a managed care organization shall not include a senior care organization, as defined in M.G.L. c. 118E, § 9D of or an integrated care organization as defined in M.G.L. c. 118E, § 9F.

MassHealth. The medical assistance program administered by the Executive Office of Health and Human Services Office of Medicaid pursuant to M.G.L. c. 118E and in accordance with Titles XIX and XXI of the Federal Social Security Act, and a Section 1115 Demonstration Waiver.

Medicare Program. The medical insurance program established by Title XVIII of the Social Security Act.

Office of Pharmacy Affairs (OPA). The Office of Pharmacy Affairs, and any successor agencies, is a division within the United States Department of Health and Human Services that monitors the registration of 340B pharmacies.

Outlier Day. Each day beyond 20 acute days, during a single admission, for which a Patient remains hospitalized at acute status, other than in a Department of Mental Health licensed bed.

Patient. An individual who receives or has received Eligible Services at a Hospital or Community Health Center.

Payment. A check, draft or other paper instrument, an electronic fund transfer, or any order, instruction, or authorization to a financial institution to debit one account and credit another.

Pediatric Hospital. An acute Hospital which limits services primarily to children and which qualifies as exempt from the Medicare Prospective Payment System (PPS).

4/11/14 (Effective 10/1/13) 1131 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. 101 CMR: EXECUTIVE OFFICE OF HEALTH AND HUMAN SERVICES

614.02: continued

Premium Assistance Payment Program Operated by the Health Connector. An insurance subsidy program for low-income individuals and families administered by the Commonwealth Health Insurance Connector Authority, pursuant to M.G.L. c. 176Q.

Private Sector Charges. Gross Patient Service Revenue attributable to all patients less Gross Patient Service Revenue attributable to Titles XVIII, XIX, and XXI, other publicly aided patients. For each Fiscal Year, a Hospital's Private Sector Charges are determined using data reported in the 403 cost report for that Fiscal Year.

Provider. A Hospital or Community Health Center that provides Eligible Services.

Publicly Aided Patient. A person who receives Hospital or Community Health Center care and services for which a Governmental Unit is liable in whole or in part under a statutory obligation.

Registered Payer List. A list of Institutional Payers as defined in 101 CMR 614.05(3)(b).

Reimbursable Services. Eligible Services for which a Provider may submit a claim to the Health Safety Net Trust Fund as defined in 114.6 CMR 13.00: Health Safety Net Eligible Services.

Shortfall Amount. In a Fiscal Year, the positive difference between the sum of Allowable Health Safety Net care costs for all Hospitals and the revenue available for distribution to Hospitals.

Sole Community Hospital. Any acute Hospital classified as a Sole Community Hospital by the U.S. Centers for Medicare and Medicaid Services' Medicare regulations, or any Hospital that demonstrates to the Health Safety Net Office's satisfaction that it is located more than 25 miles from other acute Hospitals in the Commonwealth and that it provides services for at least 60% of its primary service area.

Surcharge Payer. An individual or entity that: (a) makes payments for the purchase of health care Hospital Services and Ambulatory Surgical Center Services; and (b) meets the criteria set forth in 101 CMR 614.05(1)(a).

Surcharge Percentage. The percentage assessed on certain payments to Hospitals and Ambulatory Surgical Centers determined pursuant to 101 CMR 614.05(2).

Third Party Administrator. An entity that administers payments for health care services on behalf of a client plan in exchange for an administrative fee. A Third Party Administrator may provide client services for a self-insured plan or an insurance carrier's plan. Third Party Administrators will be deemed to use a client plan's funds to pay for health care services whether the Third Party Administrator pays Providers with funds from a client plan, with funds advanced by the Third Party Administrator subject to reimbursement by the client plan, or with funds deposited with the Third Party Administrator by a client plan.

Total Acute Hospital Assessment Amount. An amount equal to $160,000,000 plus 50% of the estimated cost, as determined by the Secretary of Administration and Finance, of administering the Health Safety Net and related assessments in accordance with M.G.L. c. 118E, §§ 65 through 69.

Total Surcharge Amount. An amount equal to $160,000,000 plus 50% of the estimated cost, as determined by the Secretary of Administration and Finance, of administering the Health Safety Net and related assessments in accordance with M.G.L. c. 118E, §§ 65 through 69.

Urgent Care. Medically necessary services provided in a Hospital or Community Health Center after the sudden onset of a medical condition, whether physical or mental, manifesting itself by acute symptoms of sufficient severity (including severe pain) that a prudent lay person would believe that the absence of medical attention within 24 hours could reasonably expect to result in: placing a patient's health in jeopardy; impairment to bodily function, or dysfunction of any bodily organ or part. Urgent care services are provided for conditions that are not life-threatening and do not pose a high risk of serious damage to an individual's health. Urgent care services do not include elective or primary care.

4/11/14 (Effective 10/1/13) 1132 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. 101 CMR: EXECUTIVE OFFICE OF HEALTH AND HUMAN SERVICES

614.03: Sources and Uses of Funds

(1) Available Revenue. (a) Except as provided in 101 CMR 614.03(1)(b), revenue available to fund Provider payments from the Health Safety Net Trust Fund consists of: 1. Revenue produced by Hospital Assessments and the Surcharge on Hospital and Ambulatory Surgical Center payments; 2. Funds authorized to be transferred from the Commonwealth Care Trust Fund; 3. Amounts previously transferred from the Uncompensated Care Trust Fund; 4. Any interest on monies in the Health Safety Net Trust Fund; and 5. Any additional funding made available through appropriation or otherwise. (b) Any amounts collected from Surcharge Payers in any Fiscal Year in excess of the Total Surcharge Amount, adjusted to reflect applicable surcharge credits based on prior year collections, shall be transferred to the General Fund to support a portion of the costs of the MassHealth and Commonwealth Care Health Insurance Programs.

(2) Payments from the Health Safety Net Trust Fund. (a) Hospital Payments established under 101 CMR 614.06 may be adjusted to reflect additional funding made available during the Fiscal Year or to reflect the Shortfall Allocation in accordance with 101 CMR 614.03(2). The Health Safety Net Office may reserve up to 10% of available funding to ensure that funding will be available for the entire Fiscal Year. The Health Safety Net Office may reserve an additional amount of available funding to ensure that funds are available to pay for claims that were denied or held during the Fiscal Year, but are later remediated in a subsequent Fiscal Year. (b) Shortfall Allocation. The Health Safety Net Office shall, using the best data available, estimate the projected total Reimbursable Services provided by Hospitals and Community Health Centers; total Bad Debt; and total Health Safety Net Office administrative expenses. If the Health Safety Net Office determines that, after adjusting for projected Community Health Center payments and administrative expenses, Health Safety Net payments to Hospitals will exceed available funding, the Health Safety Net Office shall allocate the funding in a manner that reflects each Hospital's proportional financial requirements for Health Safety Net payments through a graduated payment system. The Health Safety Net Office will allocate the shortfall to Disproportionate Share Hospitals and other Hospitals as follows: 1. Disproportionate Share Hospital. The Health Safety Net Office will determine Disproportionate Share Hospital status using data from the FY2012 403 cost report. 2. Allocation Method. The Health Safety Net Office will allocate the shortfall as follows: a. Determine the ratio of each Hospital's total patient care costs to the sum of all Hospitals' total patient care costs; b. Multiply this ratio by the total Shortfall Amount c. If calculated amount is greater than a Hospital's allowable Health Safety Net payments, then the shortfall allocation will be limited to the Hospital's allowable Health Safety Net payments. If a Hospital's allowable Health Safety Net payment is a negative amount, then the shortfall allocation will be limited to zero. d. The Health Safety Net's gross liability to each Hospital is limited by the Hospital's allowable Health Safety Net payments less the Shortfall Allocation Amount. e. Each Disproportionate Share Hospital will be paid the greater of: i. 85% of its allowable Health Safety Net payments; or ii. the revised payment calculated according to the shortfall methodology in 101 CMR 614.03(2)(b)2.a. through e. (c) Final Settlement. The Health Safety Net Office may implement a final settlement between the Health Safety Net and a Hospital for the Fiscal Year. The Final Settlement will be calculated based on the Hospital's gross liability to the Health Safety Net Trust Fund calculated pursuant to 101 CMR 614.04, the Health Safety Net's gross liability to the Hospital calculated pursuant to 101 CMR 614.06, and the payments made to the Hospital during the Fiscal Year. The Final Settlement may occur when the Office determines that it has sufficiently completed relevant claims adjudication and audit activity. For the purposes of the Final Settlement, the Health Safety Net Office may cease paying for claims that exceed the billing deadlines or other billing rules established at 114.6 CMR 13.00: Health Safety Net Eligible Services.

4/11/14 (Effective 10/1/13) 1133 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. 101 CMR: EXECUTIVE OFFICE OF HEALTH AND HUMAN SERVICES

614.04: Total Hospital Assessment Liability to the Health Safety Net Trust Fund

A Hospital's gross liability to the Health Safety Net Trust Fund is the product of: (a) the ratio of its Private Sector Charges to all Hospitals' Private Sector Charges; and (b) the Total Acute Hospital Assessment Amount, the total Hospital liability to the Health Safety Net Trust Fund pursuant to M.G.L. c. 118E, § 67.

614.05: Surcharge on Hospital Payments

(1) General. There is a surcharge on certain payments to Hospitals and Ambulatory Surgical Centers. The surcharge amount equals the product of payments subject to surcharge as defined in 101 CMR 614.05(1)(b) and the Surcharge Percentage as defined in 101 CMR 614.05(2). (a) Surcharge Payer. 1. A Surcharge Payer is an individual or entity that makes payments for the purchase of health care Hospital Services and Ambulatory Surgical Center Services, including a Managed Care Organization; provided, however, that the term "surcharge payer" shall not include Title XVIII and Title XIX programs and their beneficiaries or recipients, except Managed Care Organizations; other governmental programs of public assistance and their beneficiaries or recipients; and the workers' compensation program established pursuant to M.G.L. c. 152. 2. The same entity that pays that Hospital or Ambulatory Surgical Center for services must pay the surcharge. If an entity such as a Third Party Administrator acts on behalf of a client plan and uses the client plan's funds to pay for the services, or advances funds to pay for the services for which it is reimbursed by the client plan, it must also act on behalf of the client plan and use the client plan's funds to pay the surcharge or advance funds to pay the surcharge for which it will be reimbursed by the client plan. (b) Payments Subject to Surcharge. Payments subject to surcharge include: 1. Direct and Indirect Payments made by Surcharge Payers to Massachusetts acute Hospitals for the purchase of acute Hospital Services and to Massachusetts Ambulatory Surgical Centers for the purchase of Ambulatory Surgical Center Services. a. Except for Managed Care Organization payments for MassHealth members and Commonwealth Care enrollees, the surcharge applies to all payments made on or after January 1, 1998, regardless of the date services were provided. b. For Managed Care Organization payments for MassHealth members under age 65 and for Commonwealth Care enrollees, the surcharge applies to all payments made on or after December 1, 2010, regardless of the date services were provided. 2. Payments made by national health insurance plans operated by foreign governments; and payments made by an embassy on behalf of a foreign national not employed by the embassy. 3. Direct payments made under an employer health plan by a health care reimbursement arrangement funded by the employer. (c) Payments Not Subject to Surcharge. Payments not subject to surcharge include: 1. Payments, settlements and judgments arising out of third party liability claims for bodily injury that are paid under the terms of property or casualty insurance policies; 2. Payments made on behalf of MassHealth members, Medicare beneficiaries, persons enrolled in the Premium Assistance Payment Program Operated by the Health Connector, or persons enrolled in policies issued pursuant to M.G.L. c. 176K or similar policies issued on a group basis, except that payments made by Managed Care Organizations on behalf of MassHealth members under age 65 who are not enrolled in an integrated care organization and Commonwealth Care enrollees are subject to surcharge; 3. Payments made by a Hospital to a second Hospital for services that the first Hospital billed to a Surcharge Payer; 4. Payments made by a group of Providers, including one or more Massachusetts acute care Hospitals or Ambulatory Surgical Centers, to member Hospitals or Ambulatory Surgical Centers for services that the group billed to an entity licensed or approved under M.G.L. chs.175,176A, 176B, 176G, or 176I; 5. Payments made on behalf of an individual covered under the Federal Employees Health Benefits Act at 5 U.S.C. 8901 et seq.; 6. Payments made on behalf of an individual covered under the workers' compensation program under M.G.L. c. 152; and 7. Payments made on behalf of foreign embassy personnel who hold a Tax Exemption Card issued by the United States Department of State.

4/11/14 (Effective 10/1/13) 1134 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. 101 CMR: EXECUTIVE OFFICE OF HEALTH AND HUMAN SERVICES

614.05: continued

(d) The surcharge shall be distinct from any other amount paid by a Surcharge Payer for the services provided by a Hospital or Ambulatory Surgical Center. Surcharge amounts paid shall be deposited in the Health Safety Net Trust Fund.

(2) Calculation of the Surcharge Percentage. The Health Safety Net Office will use the following methodology to calculate the percentage of the surcharge to be assessed on certain payments to Hospitals and Ambulatory Surgical Centers, established in M.G.L. c. 118E, § 68. The Health Safety Net Office will establish the Surcharge Percentage before September 1st of each year, as follows: (a) The Health Safety Net Office will determine the total amount to be collected by adjusting the Total Surcharge Amount for any over or under collections from Institutional Payers and individuals in previous years, including audit adjustments, as well as any over or under collections projected for October or November of the coming year. (b) The Health Safety Net Office will project annual aggregate payments subject to the surcharge based on historical data, excluding projected annual aggregate payments made by Managed Care Organizations on behalf of MassHealth members and Commonwealth Care enrollees, with any adjustments the Health Safety Net Office deems necessary. (c) The Health Safety Net Office will divide the amount determined in 101 CMR 614.05(2)(a) by the amount determined in 101 CMR 614.05(2)(b).

(3) Payer Registration. (a) Except for non-United States national insurers that have made fewer than ten payments per year in the prior three years to Massachusetts Hospitals and/or Ambulatory Surgical Centers, all Institutional Payers must register with the Health Safety Net Office by completing and submitting the Surcharge Payer Registration form. These payers shall submit the registration form to the Health Safety Net Office within 30 days after making a payment to any Massachusetts Hospital or Ambulatory Surgical Center. (b) Registered Payer List. The Health Safety Net Office will compile lists of registered Institutional Payers, and will update the lists quarterly. The Health Safety Net Office will distribute these lists to Hospitals and Ambulatory Surgical Centers upon request. (c) Institutional Payers must register only once, except that an Institutional Payer that is also a Managed Care Organization must register separately as a Managed Care Organization. A registered payer is automatically registered for the next Fiscal Year.

(4) Billing Process for Institutional Payers. (a) Each Hospital and Ambulatory Surgical Center shall send a bill for the Health Safety Net surcharge to Surcharge Payers, as required by M.G.L. c. 118E, § 68. Hospitals and Ambulatory Surgical Centers shall send this bill to Surcharge Payers from whom they have received payment for services in the most recent four quarters for which data is available. The bill will state the Surcharge Percentage. Hospitals and Ambulatory Surgical Centers shall send this bill to payers before September 1st of each Fiscal Year and before the effective date of any Surcharge Percentage. (b) Each Hospital and Ambulatory Surgical Center shall also send a bill for the surcharge at the same time as the bill for services provided to Institutional Payers who have not registered with the Health Safety Net Office pursuant to 101 CMR 614.05(3)(a) and from whom they have received payment. The bill must be sent within 30 days of receiving the payment from the unregistered payer. The bill shall state the Surcharge Percentage, but not the dollar amount owed, and shall include notification of the surcharge payment process set forth below, as well as a registration form specified by the Health Safety Net Office. Until the Hospital or Ambulatory Surgical Center receives the Registered Payer List, it shall send a bill for the surcharge at the same time as the bill for services provided to Institutional Payers which it did not already bill pursuant to 101 CMR 614.05(4)(a).

(5) Payment Process for Institutional Payers. (a) Monthly Surcharge Liability. After the end of each calendar month, each Institutional Payer shall determine the surcharge amount it owes to the Health Safety Net Trust Fund for that month. The amount owed is the product of the amount of payments subject to surcharge, as defined in 101 CMR 614.05(1)(b), by the Surcharge Percentage in effect during that month. The Institutional Payer may adjust the surcharge amount owed for any surcharge over- or under-payments in a previous period.

4/11/14 (Effective 10/1/13) 1135 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. 101 CMR: EXECUTIVE OFFICE OF HEALTH AND HUMAN SERVICES

614.05: continued

1. Institutional Payers that pay a global fee or capitation for services that include Hospital or Ambulatory Surgical Center Services, as well as other services not subject to the surcharge, must develop a reasonable method for allocating the portion of the payment intended to be used for services provided by Hospitals or Ambulatory Surgical Centers. Such Institutional Payers must file this allocation method by October 1st of each Fiscal Year. If there is a significant change in the global fee or capitation payment arrangement that necessitates a change in the allocation method, the Institutional Payer must file the new method with the Health Safety Net Office before the new payment arrangement takes effect. Institutional Payers may not change the allocation method later in the year unless there is a significant change in the payment arrangement. a. The Health Safety Net Office will review allocation plans within 90 days of receipt. During this review period the Health Safety Net Office may require an Institutional Payer to submit supporting documentation or to make changes in this allocation method if it finds that the method does not reasonably allocate the portion of the global payment or capitation intended to be used for services provided by Hospitals or Ambulatory Surgical Centers. b. An Institutional Payer must include the portion of the global payment or capitation intended to be used for services provided by Hospitals or Ambulatory Surgical Centers, as determined by this allocation method, in its determination of payments subject to surcharge. 2. An Institutional Payer must include all payments made as a result of settlements, judgments, or audits in its determination of payments subject to surcharge. An Institutional Payer may include payments made by Massachusetts Hospitals or Ambulatory Surgical Centers to the Institutional Payer as a result of settlements, judgments, or audits as a credit in its determination of payments subject to surcharge. (b) Monthly Payments. Institutional Payers shall make payments to the Health Safety Net Trust Fund monthly. Each Institutional Payer shall remit the surcharge amount it owes to the Health Safety Net Trust Fund, determined pursuant to 101 CMR 614.05(5)(a), to the Health Safety Net Office for deposit in the Health Safety Net Trust Fund. Institutional Payers shall remit the surcharge payment by the first business day of the second month following the month for which the surcharge amount was determined. For example, surcharge payments based on payments made to Hospitals and Ambulatory Surgical Centers in January are due by March 1st. (c) Biannual Surcharge Payment Option. An Ambulatory Surgical Center may request a biannual surcharge payment option if: 1. It has remitted four or fewer payments during the previous fiscal year; 2. It has remitted all required surcharge payments and submitted all monthly coupons; 3. It submitted a Surcharge Verification Form for the previous fiscal year; and 4. It has reported less than $10,000 in surcharge payments in the Surcharge Verification Form. The Health Safety Net Office will notify payers eligible for the biannual option. The Payer may elect to receive biannual surcharge notices or to continue to receive monthly notices. Each biannual surcharge payment will equal the appropriate surcharge percentage times, and payments made to Massachusetts Hospitals and Ambulatory Surgical Centers for the prior six months. (d) All surcharge payments must be payable in United States dollars and drawn on a United States bank. The Health Safety Net Office will assess a $30 penalty on any Surcharge Payer whose check is returned for insufficient funds. (e) Any Institutional Payer, except Third Party Administrators, that has a surcharge liability of less than five dollars in any month or biannual payment period may delay payment until its surcharge liability is at least five dollars. For example, XYZ Company's surcharge liability for July is $3.50 and its liability for August is $2.00. XYZ Company may delay payment in July but must remit a check for $5.50 in August.

(6) Payment Process for Individual Payers (Self-pay). There is a surcharge on certain payments made by Individual Payers to Hospitals and Ambulatory Surgical Centers. (a) Billing. 1. Hospitals and Ambulatory Surgical Centers shall include the surcharge amount on all bills to Individual Payers unless:

4/11/14 (Effective 10/1/13) 1136 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. 101 CMR: EXECUTIVE OFFICE OF HEALTH AND HUMAN SERVICES

614.05: continued

a. The patient's liability is less than the individual payment threshold determined by the Health Safety Net Office. The individual payment threshold is a payment of $10,000 or more. b. The patient is a non-Massachusetts resident for whom the Hospital or Ambulatory Surgical Center can verify that the patient's income would otherwise qualify the patient as a Low Income Patient under 114.6 CMR 13.04: Eligible Services to Low Income Patients. c. The patient is approved for Medical Hardship in accordance with the requirements of 114.6 CMR 13.05: Medical Hardship Services. The bill shall direct Individual Payers to pay the surcharge to the Hospital or Ambulatory Surgical Center when making payment for services. 2. The amount of the surcharge billed is the product of the patient's liability to the Hospital or Ambulatory Surgical Center, and the Surcharge Percentage in effect on the billing date. 3. The amount of the surcharge owed by an Individual Payer is the product of the total amount paid by the individual to a Hospital or Ambulatory Surgical Center; and the Surcharge Percentage in effect on the payment date. Payments greater than or equal to the threshold received by Hospitals and Ambulatory Surgical Centers from Individual Surcharge Payers are subject to the surcharge. (b) Hospitals and Ambulatory Surgical Centers must remit to the Health Safety Net Office the surcharge amount owed by Individual Payers for every payment greater than or equal to the threshold made by Individual Payers. If an Individual Payer makes separate payments over a twelve month period that are equal to or greater than the threshold and relate to an outpatient visit or inpatient stay, the surcharge amount due applies to the aggregate amount paid for the outpatient visit or inpatient stay. The first surcharge payment is due to the Health Safety Net Office when the total Individual Payer payment amount reaches the threshold. (c) Hospitals and Ambulatory Surgical Centers shall remit such surcharge payments by the first business day of the second month following the month during which the surcharge was received. For example, surcharge payments received by Hospitals and Ambulatory Surgical Centers in January are due to the Health Safety Net on March 1st. Hospitals and Ambulatory Surgical Centers may deduct collection agency fees for the collection of surcharge payments from Individual Payers from the total amount of surcharge payments forwarded to the Health Safety Net. (d) All payments must be payable in United States dollars and drawn on a United States bank. The Health Safety Net Office will assess a $30 penalty on any Surcharge Payer whose check is returned for insufficient funds. (e) If an embassy of a foreign government pays a Hospital or Ambulatory Surgical Center bill on behalf of an individual, the Provider may either bill the embassy for the individual's surcharge according to the billing and payment process for individual payers set forth in 101 CMR 614.05(6) or bill the embassy according to the billing process for Institutional Payers as set forth in 101 CMR 614.05(4). If the Provider chooses to bill the embassy as an Institutional Payer and the embassy is not listed on the Registered Payer List, the Provider shall include the embassy on the Unmatched Payer Report and send surcharge payer registration information to the embassy.

(7) Penalties. If a Hospital, Ambulatory Surgical Center, or Surcharge Payer fails to forward surcharge payments pursuant to 101 CMR 614.05, the Health Safety Net Office shall impose an additional 1.5% interest penalty on the outstanding balance. The interest shall be calculated from the due date. For each month a payment remains delinquent, an additional 1.5% penalty shall accrue against the outstanding balance, including prior penalties. (a) The Health Safety Net Office will credit partial payments first to the current outstanding liability, and second to the amount of the penalties. (b) The Health Safety Net Office may reduce the penalty at the Health Safety Net Office's discretion. In determining a waiver or reduction, the Health Safety Net Office's consideration will include, but will not be limited to, the entity's payment history, financial situation, and relative share of the payments to the Health Safety Net.

4/11/14 (Effective 10/1/13) 1137 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. 101 CMR: EXECUTIVE OFFICE OF HEALTH AND HUMAN SERVICES

614.05: continued

(8) Administrative Review. The Health Safety Net Office may conduct an administrative review of surcharge payments at any time. (a) The Health Safety Net Office will review data submitted by Hospitals, Ambulatory Surgical Centers, and Institutional Payers pursuant to 101 CMR 614.08, the Surcharge Payer Registration forms submitted by Institutional Payers pursuant to 101 CMR 614.05(3)(a), and any other pertinent data. All information provided by, or required from, any Surcharge Payer, pursuant to 101 CMR 614.00 shall be subject to audit by the Health Safety Net Office. For surcharge payments based upon a global fee or capitation allocated according to an allocation method accepted by the Health Safety Net Office pursuant to 101 CMR 614.05(5)(a)1., the Health Safety Net Office's review will be limited to determining whether this method was followed accurately and whether the amounts reported were accurate. (b) The Health Safety Net Office may require the Surcharge Payer to submit additional documentation reconciling the data it submitted with data received from Hospitals. (c) If the Health Safety Net Office determines through its review that a Surcharge Payer's payment to the Health Safety Net was materially incorrect, the Health Safety Net Office may require a payment adjustment. Payment adjustments shall be subject to interest penalties and late fees, pursuant to 101 CMR 614.05(7), from the date the original payment was owed to the Health Safety Net. (d) Processing of Payment Adjustments. 1. Notification. The Health Safety Net Office shall notify a Surcharge Payer of its proposed adjustments. The notification shall be in writing and shall contain a complete listing of all proposed adjustments, as well as the Health Safety Net Office's explanation for each adjustment. 2. Objection Process. If a Surcharge Payer wishes to object to a Health Safety Net Office proposed adjustment contained in the notification letter, it must do so in writing, within 15 business days of the mailing of the notification letter. The Surcharge Payer may request an extension of this period for cause. The written objection must, at a minimum, contain: a. Each adjustment to which the Surcharge Payer is objecting; b. The Fiscal Year for each disputed adjustment; c. The specific reason for each objection; and d. All documentation that supports the Surcharge Payer's position. 3. Upon review of the Surcharge Payer's objections, the Health Safety Net Office shall notify the Surcharge Payer of its determination in writing. If the Health Safety Net Office disagrees with the Surcharge Payer's objections, in whole or in part, the Health Safety Net Office shall provide the Surcharge Payer with an explanation of its reasoning. 4. The Surcharge Payer may request a conference on objections after receiving the Health Safety Net Office's explanation of reasons. The Health Safety Net Office will schedule such conference on objections only when it believes that further articulation of the Surcharge Payer's position is beneficial to the resolution of the disputed adjustments. (e) Payment of Adjustment Amounts. Adjustment amounts and any interest penalty and late fee amounts shall be due to the Health Safety Net 30 calendar days following the mailing of the notification letter. If the Surcharge Payer submitted a written objection, then adjustment amounts and any interest penalty and late fee amounts shall be due to the Health Safety Net 30 calendar days following the mailing of the Health Safety Net Office's determination. The Health Safety Net Office may establish a payment schedule for adjustment amounts.

614.06: Payments to Hospitals

(1) General Provisions. (a) The Health Safety Net Office will pay Hospitals based on claims in accordance with the requirements of 114.6 CMR 13.00: Health Safety Net Eligible Services. The Health Safety Net Office will monitor the volume of claims submitted and may adjust or withhold payments if it appears that there has been a substantial change in the Provider's service delivery patterns and/or billing activity, including, but not limited to, unbundling of services, upcoding, or other billing maximization activities. (b) Payment Types. The Health Safety Net Office will calculate Health Safety Net payments for each Hospital for the following categories of claims for which the Health Safety Net is the primary payer:

4/11/14 (Effective 10/1/13) 1138 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. 101 CMR: EXECUTIVE OFFICE OF HEALTH AND HUMAN SERVICES

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Inpatient - Medical (under 101 CMR 614.06(2)(a) through (c)) Inpatient - Psychiatric (under 101 CMR 614.06(2)(d)) Inpatient - Rehabilitation (under 101 CMR 614.06(2)(e)) Outpatient (under 101 CMR 614.06(3) and (4)) Dental Services (under 101 CMR 614.06(5)) Hospital Outpatient Pharmacies (under 101 CMR 614.06(6)) Vaccine Administration (under 101 CMR 614.06(7)) Emergency Bad Debt - Inpatient Medical (under 101 CMR 614.06(9)) Emergency Bad Debt - Inpatient Psychiatric (under 101 CMR 614.06(9)) Emergency Bad Debt - Outpatient (under 101 CMR 614.06(9)) Medical Hardship (under 101 CMR 614.06(10)) The Health Safety Net Office will also establish payments for claims for which the Health Safety Net is the secondary payer. The Health Safety Net Office will reduce payments by the amount of co-payments and deductibles required by 114.6 CMR 13.00: Health Safety Net Eligible Services, Emergency Bad Debt recoveries, and investment income on free care endowment funds. The Health Safety Net Office will determine the offset of free care endowment funds by allocating free care endowment income between Massachusetts residents and non-residents using the best data available and offsetting the Massachusetts portion against Health Safety Net claims. (c) Method of Payment. The Health Safety Net Office may make payments to Hospitals for Eligible Services through a safety net care payment under the Massachusetts Section 1115 Demonstration Waiver, a MassHealth supplemental Hospital rate payment, or a combination thereof. The Health Safety Net Office may limit a Hospital's Payment for Eligible Services to comply with requirements under the Massachusetts Section 1115 Demonstration Waiver governing safety net care, or any other federally required limit on payments under 42 U.S.C. § 1396a(a)(13) or 42 CFR 447. (d) Data Sources. The Health Safety Net Office will use the following Medicare payment data sources to determine inpatient Payments. Unless otherwise specified, the Health Safety Net Office will use values established by CMS. The Health Safety Net Office will update these values as needed to conform with changes implemented by the Medicare program during the Fiscal Year: 1. DRG Weight. The Version 31 Medicare severity diagnostic related group (MS-DRG) weight for a particular MS-DRG as published in the Federal Register. 2. DSH Factor. The hospital-specific operating and capital factors calculated pursuant to 42 CFR 412.106. Hospitals that demonstrate eligibility for Pickle Amendment payments, based on prior fiscal year data, will receive additional payments in accordance with 42 CFR 412.106(c)(2). 3. Geographic Adjustment Factor (GAF). The GAF varies by hospital and is the Medicare wage index raised to 0.6848 pursuant to 42 CFR 412.316(a). 4. Indirect Medical Education (IME) Adjustment. A hospital-specific CMS adjustment to the Medicare payment calculated pursuant to 42 CFR 412.105. 5. Pass Through Add-on. A hospital-specific CMS adjustment to the Medicare payment. 6. Standardized Amount - Labor. The FY2014 amount for Hospitals as published by CMS. 7. Standardized Amount - Non-labor. The FY2014 amount for Hospitals as published by CMS. 8. Standardized Capital Amount. The FY2014 amount as published by CMS. 9. Wage Index. The hospital-specific wage index used to determine Medicare payments. (e) Provider Preventable Conditions. The Health Safety Net Office will not pay for services related to Provider Preventable Conditions defined in 42 CFR 447.26. The Office may issue Administrative Bulletins clarifying billing requirements and payment specifications for Provider Preventable Conditions.

(2) Payments for Inpatient Services. The Health Safety Net Office will pay Hospitals in accordance with Medicare FY2014 Inpatient Prospective Payment System (IPPS) for non-psychiatric claims, and the Inpatient Psychiatric Facility Prospective Payment System (IPF-PPS) for psychiatric claims. Hospitals classified by Medicare as Critical Access Hospitals (CAHs), PPS-exempt Hospitals, Medicare Dependent Rural Hospitals, and Sole Community Hospitals will be paid in accordance with 101 CMR 614.06(2)(c).

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(a) Inpatient Medical Payment - Standard. 1. Calculation of the HSN Medical Inpatient Payment. For all Hospitals except Medicare-designated Critical Access Hospitals, PPS-exempt Hospitals, Sole Community Hospitals and Medicare Dependent Rural Hospitals, the Health Safety Net Office will calculate an Inpatient Medical Payment as follows: a. Adjusted Standard Amount (ASA). The ASA equals:

(Standard Labor Amount*Wage Index) + (Standard Non-Labor Amount)

b. DRG weight. The DRG weight is determined on a per claim basis using the Medicare version 31 MS-DRG grouper. c. Operating DRG Payment. The Operating DRG Payment equals:

ASA*DRG Weight*(1+DSH Operating Factor)*(1+IME Operating Factor)

d. Capital DRG Payment. The Capital DRG Payment equals:

(Standard Capital Amount)*DRG Weight*GAF* (1+DSH Capital Factor)*(1+IME Capital Factor)

e. Pass through Payment. The Pass through Payment equals:

Pass through per diem*length of stay

f. Outlier Payment. The Health Safety Net Office will calculate an additional outlier payment for qualifying cases. A case qualifies for an outlier payment if the estimated case cost exceeds the outlier threshold. The estimated case cost is determined by discounting total charges, less hospital-based physician charges, by a cost to charge ratio. The fixed outlier threshold is the amount established by CMS and published in the Federal Register, adjusted for the hospital-specific wage index, DSH, IME, and GAF amounts. The total outlier payment is the marginal cost factor of 80% of the difference between the estimated cost and the outlier threshold. g. Inpatient Medical Payment. The hospital-specific total case payment for each discharge is the sum of the Operating DRG Payment, the Capital DRG Payment, and the Pass through Payment. It may be further adjusted, as applicable, by an Outlier Payment, or adjustment under 101 CMR 614.06(2)(b). (b) Adjustments to Inpatient Medical Payment. 1. Transfer Case Payments. If a case qualifies as a transfer case under Medicare rules, the Health Safety Net Office will calculate a per diem rate, capped at the full discharge payment. The per diem rate is the hospital-specific DRG payment calculated under 101 CMR 614.06(2) divided by the length of stay for the DRG. For qualifying cases, transfer payments may also include a per diem outlier payment. 2. Special Pay Post-acute DRGs. If a case would qualify as a "special pay DRG" under Medicare rules, the Health Safety Net Office will calculate a rate as follows: Day one is set at 50% of the full DRG payment, plus a single transfer payment per diem. Subsequent days are set at 50% of the transfer per diem. In no case will the calculated payment exceed the full DRG payment. For qualifying cases, special pay post-acute DRGs may also include a per diem outlier payment. 3. Partially-eligible Stays. If a patient is eligible for the Health Safety Net for part of an inpatient stay, the Hospital will receive the transfer per diem rate for services other than psychiatric services for the number of eligible inpatient days, not to exceed the full discharge payment. (c) Inpatient Medical Payment - Other Hospitals. 1. Critical Access Hospitals and PPS-exempt Hospitals. The Health Safety Net Office will calculate a per discharge payment for all discharges occurring at Medicare Critical Access Hospitals and PPS-exempt cancer and Pediatric Hospitals as follows: a. The Health Safety Net Office will determine the average charge per discharge using FY2012 adjudicated and eligible HSN claims data as of September 5, 2013.

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b. The Health Safety Net Office will determine an average cost per discharge by multiplying the average charge per discharge by an inpatient cost to charge ratio using FY2012 403 cost report data. c. The average cost per discharge will be increased by a cost adjustment factor of 4.76% and an additional factor of 1%. The product of this calculation is the per discharge payment applicable to all discharges occurring in FY2014, except that partially eligible stays will be paid pursuant to 101 CMR 614.06(2)(b)(3). d. If the Hospital has fewer than 20 discharges in FY2012, the Health Safety Net Office will set a payment on account factor for the Hospital. e. If a case qualifies as a transfer case under Medicare rules, the Health Safety Net Office will calculate a per diem rate, capped at the full discharge payment. The per diem rate is the hospital-specific payment calculated under 101 CMR 614.06(2)(b)(1), divided by the Hospital's average length of stay. 2. Sole Community Hospitals. The Health Safety Net Office will calculate a hospital-specific per discharge amount for Hospitals classified by Medicare as Sole Community Hospitals, rather than the Adjusted Standardized Amount. This amount is based on the hospital-specific rate provided by the Medicare fiscal intermediary, adjusted for inflation. The payments may include transfer, outlier, and special pay amounts, using the hospital-specific rate in these calculations, for qualifying cases. Partially eligible stays will be paid pursuant to 101 CMR 614.06(2)(b)3. 3. Medicare Dependent Rural Hospitals. The Health Safety Net Office will calculate a blended payment consisting of 75% of a hospital-specific payment and 25% of the Operating DRG Payment for Hospitals classified by Medicare as Medicare Dependent Rural Hospitals. The payments may include transfer, outlier, and special pay amounts, using the hospital-specific blended rate in these calculations, for qualifying cases. Partially eligible stays will be paid pursuant to 101 CMR 614.06(2)(b)3. (d) Inpatient Psychiatric Payment. 1. Psychiatric Case. A case is classified as psychiatric if a. The Hospital has a Medicare psychiatric unit; b. The primary diagnosis is related to a psychiatric disorder with an ICD-9 code beginning with 29, 30 or 31; and c. The claim includes psychiatric accommodation charges. 2. Psychiatric Payment. The Health Safety Net Office will calculate a per diem payment as follows: a. Base Rate. The adjusted rate equals:

(Labor share of the Medicare Federal Per Diem psychiatric rate * Wage Index) + (Non-labor share of the Medicare Federal Per Diem)

3. Teaching Adjustment. There is an additional teaching adjustment for Hospitals with Medicare approved teaching programs. The teaching adjustment equals:

(1+ (number of psych intern and resident FTEs/Average daily census))*0.5150

4. Other Adjustments. Other adjustments will be included in the payment rate in accordance with the Medicare payment provisions, including adjustments for specific DRGs, the presence of comorbidities, patient age, and length of stay. 5. Outlier Payments. Additional outlier payments will be included in the payment rate for qualifying cases that exceed the outlier threshold. Outlier payments are calculated as follows: a. Outlier Threshold. The psychiatric outlier threshold is the fixed threshold adjusted for the Hospital's wage index, plus the psychiatric payment calculated in 101 CMR 614.06(2)(d)2.a. b. Outlier Per Diem. The outlier per diem is the difference between the psychiatric case costs estimated using the cost to charge ratio and the outlier threshold, divided by the length of stay. c. Outlier Payment. If the length of stay is less than or equal to nine days, the additional outlier payment is 80% of the outlier per diem times the length of stay. For Day nine and additional days, the outlier payment is 60% of the outlier per diem. 6. Total Case Payment. The total case payment is the sum of the base payment, teaching adjustment, other adjustments, and outlier payments.

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(e) Inpatient Rehabilitation Payment. 1. Rehabilitation Case. A case is classified as rehabilitation if: a. The Hospital has a Medicare rehabilitation unit; and b. The claim includes rehabilitation accommodation charges. 2. Payment. Rehabilitation cases are paid on a per diem basis. The payment is determined using the Hospital's most recently filed CMS-2552 Cost Report. The rate is the sum of total rehabilitation PPS payments and reimbursable bad debts, divided by total rehabilitation days. (f) Hospital-acquired Conditions. 1. All Hospitals, including but not limited to PPS-exempt Hospitals, are required to report the Present on Admission indicator for all diagnosis codes on inpatient claims. 2. The Health Safety Net Office will not assign an inpatient case to a higher paying MS-DRG if a Hospital-acquired Condition that was not present on admission occurs during the stay. For Hospital Services paid pursuant to 101 CMR 614.06(2)(a) and (b), the DRG payment will be reduced in accordance with Medicare principles. (g) Serious Reportable Events. The Health Safety Net Office will not pay for services related to Serious Reportable Events as defined by the National Quality Forum. The Office may issue Administrative Bulletins clarifying billing requirements and payment specifications for these Events. (h) Administrative Days. The Health Safety Net Office will pay Administrative Days at a rate of $279.97 when the Health Safety Net Office is the primary payer. When the Health Safety Net Office is not the primary payer, Administrative Days will be paid per 101 CMR 614.06(8).

(3) Payments for Outpatient Services. The Health Safety Net Office will pay a per visit amount for each outpatient visit that exceeds $20. An outpatient visit includes all outpatient services, excluding hospital-based physician services provided in a single day, except for dental and pharmacy services, as described in 101 CMR 614.06(5) and (6). The outpatient per visit amount is determined as follows: (a) For each Hospital, the Health Safety Net Office will calculate an average outpatient charge per visit, using FY2012 adjudicated and eligible Health Safety Net claims as of September 5, 2013. Charges for dental claims, charges for claims that are $20 or below, and charges for outpatient claims within 72 hours of an inpatient admission will be excluded. For Critical Access Hospitals and PP-exempt Hospitals, only charges for claims within 24 hours of an inpatient admission will be excluded. (b) The Health Safety Net Office will determine an outpatient payment per visit by multiplying the average outpatient charge per visit by a Medicare Payment on Account Factor, calculated using the best available data and subject to review and adjustment by the Health Safety Net Office. This product is further increased by a cost adjustment factor of 4.76%. (c) Disproportionate Share Hospitals and non-teaching Hospitals will receive a transitional add-on of 25% of the outpatient per visit payment rate. (d) The per visit payment for PPS-exempt Pediatric and cancer Hospitals and Medicare Critical Access Hospitals will be determined using the ratio of costs to charges from the FY2012 403 cost report rather than the Medicare Payment on Account Factor data. (e) Claims for visits that are less than or equal to $20 will be paid by multiplying the Medicare Payment on Account Factor by the billed charges.

(4) Payments for Physician Services. The Health Safety Net Office will calculate payments for primary hospital-based physician services according to the Medicare physician fee schedule.

(5) Dental Services. The Health Safety Net Office will pay Hospitals for outpatient dental services provided at Hospitals and Hospital-licensed health centers using the fees established in 114.3 CMR 14.00: Dental Services. No additional outpatient per visit payment will be paid for dental services.

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(6) Hospital Outpatient Pharmacies. (a) Prescribed Drugs. For Hospitals with outpatient pharmacies, the Health Safety Net Office will pay for prescribed drugs using rates set forth in 114.3 CMR 31.00: Prescribed Drugs. The payment will be reduced by the amount of patient cost-sharing set forth in 114.6 CMR 13.00: Health Safety Net Eligible Services. Claims will be adjudicated by the MassHealth Pharmacy Online Payment System. (b) Part B Covered Services. Medical supplies normally covered by the Medicare Part B program that are dispensed by Hospital outpatient pharmacies that are not Part B Providers will be paid at 20% of the rates set forth in 114.3 CMR 22.00: Durable Medical Equipment, Oxygen and Respiratory Therapy Equipment and 114.3 CMR 31.00: Prescribed Drugs.

(7) Vaccine Administration. The Health Safety Net Office will pay a separate fee for the administration of vaccines only when the sole purpose for a visit is vaccine administration. The fee paid will be in accordance with the provisions of 101 CMR 317.00: Unified Planning Teams. No additional payment is made for vaccines administered as part of a regular outpatient or inpatient visit.

(8) Secondary Payer. The Health Safety Net Office will pay claims for which it is not the primary payer as follows: (a) 95% Rule. If a claim billed to the Health Safety Net Office has a ratio of total billed net charges to total claim charges that is greater than 95%, the Health Safety Net will pay the claim in accordance with the applicable primary payment rules. (b) Medicare as Primary Payer. For any allowable claim for which Medicare or a Medicare Advantage plan is the primary payer, the Health Safety Net will pay the amount of the patient deductible, co-insurance, or co-payment. If Medicare or a Medicare Advantage plan denied services on a claim as non-covered services and those services are Health Safety Net Eligible Services, the payment for the services will be the product of the net billed charges and the Medicare Payment on Account Factor, except as provided at 101 CMR 614.06(8)(c). (c) Other Primary Payers. For any allowable claim for which a payer other than Medicare or a Medicare Advantage Plan is the primary payer the Health Safety Net will pay for the patient deductible or co-insurance and for Health Safety Net Eligible Services denied on a claim as non-covered services. The payment is the product of the net billed charges and the Medicare Payment on Account Factor. For inpatient services, the payment will not exceed the amount the Health Safety Net Office would have paid if it were the primary payer. (d) MassHealth Outlier Days. The Health Safety Net will pay for Outlier Days not otherwise reimbursable by MassHealth or another payer for MassHealth members at the outlier per diem rate established by MassHealth.

(9) Bad Debt Payments. Except as provided at 101 CMR 614.06(9)(a), the Health Safety Net Office will calculate Emergency Bad Debt payments for Inpatient Medical, Psychiatric, and outpatient services, using the methodology in 101 CMR 614.06(2) and (3), except that the Emergency Bad Debt outpatient rate does not include the transitional add-on cited in 101 CMR 614.06(3)(c). (a) If a Hospital has fewer than 20 Emergency Bad Debt claims in FY2012, the Health Safety Net Office will set the Emergency Bad Debt Rate as the Outpatient Primary per visit rate established in 101 CMR 614.06(3), excluding the transitional add-on under 101 CMR 614.06(3)(c). (b) The Health Safety Net Office will pay Hospital-licensed Community Health Centers $96.00 per visit for Urgent Care Bad Debt claims that meet the requirements in 114.6 CMR 13.00: Health Safety Net Eligible Services.

(10) Medical Hardship. The Health Safety Net Office will pay for claims for patients deemed eligible for Medical Hardship pursuant to 114.6 CMR 13.00: Health Safety Net Eligible Services. The Office will reduce the amount of the billed charges by any third-party payments, third-party contractual discounts, patient payments, and the amount of the Medical Hardship Contribution. If the adjusted charges are less than the total claim charges, the claim will be paid as a secondary claim in accordance with the provisions of 101 CMR 614.06(8). If the billed charges are not reduced, the Office will pay the claim as if it were a primary HSN claim.

4/11/14 (Effective 10/1/13) 1143 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. 101 CMR: EXECUTIVE OFFICE OF HEALTH AND HUMAN SERVICES

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(11) Other. The Health Safety Net Office will make an additional payment of $3.85 million to freestanding pediatric acute hospitals with more than 1,000 Medicaid discharges in federal fiscal year 2012 for which a standard payment amount per discharge was paid, as determined by paid claims in the Medicaid Management Information System as of May 11, 2013, and for which MassHealth was the primary payer. The Health Safety Net Office may make an additional payment adjustment for the two Disproportionate Share Hospitals with the highest relative volume of free care costs in FY2006.

(12) Remediated Claims. Remediated claims include claims that were paid or voided during a prior fiscal year, but due to hospital resubmission or actions of the Office were remediated by a payment or void during the current fiscal year. The Office will adjust the payment or void amounts to reflect the applicable payment methods that would have been in use at the time of the original claim payment.

614.07: Payments to Community Health Centers

(1) General Provisions. (a) The Health Safety Net Office will pay Community Health Centers based on claims submitted to the Office, less applicable cost sharing amount, in accordance with the requirements of 114.6 CMR 13.00: Health Safety Net Eligible Services and claims specifications determined by the Office. The Health Safety Net Office will monitor the volume of claims submitted and may adjust or withhold payments if it appears that there has been a substantial change in the Provider's service delivery patterns, including, but not limited to, unbundling of services, upcoding, or other billing maximization activities. (b) The Health Safety Net Office will pay a Community Health Center for prescribed drugs only if the Community Health Center is also providing prescribed drugs to MassHealth members and receiving payment from MassHealth according to 114.3 CMR 31.07: Special Provisions.

(2) Payments for Services. Except for claims for Urgent Bad Debt, the Health Safety Net Office will pay Community Health Centers according to the following table. Payments will be based on regulations named.

Service Codes Payment Medical Visit CPT Evaluation and 100% Medicare FQHC rate; Management codes for on-site limit one visit per day services and certain hospital visits Medical Visit - Urgent Care Code 99051 Rate for 99050 in 114.3 CMR 4.00: Rates for Community Health Centers Surgical Procedure (provided on CPT surgery codes clinically 100% of Medicare FQHC rate a day separate from a Medical appropriate for office setting Visit) Cardio and Pulmonary Cardiovascular (93000 series) 101 CMR 317.00: Medicine Diagnostic (technical and Pulmonary (94000 series) component only) Obstetrical Services Global OB codes 114.3 CMR 16.00: Surgery and Anesthesia Services Behavioral Health (diagnostic) CPT Behavioral Health 100% Medicare FQHC rate Diagnostic codes; CHC licensed services

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614.07: continued Service Codes Payment (continued) Behavioral Health (treatment) CPT Behavioral Health 62.5% Medicare FQHC rate for Treatment codes hourly individual treatment; 31.25% of Medicare FQHC rate for 30 minute codes except group codes; for group treatment and medication visit, rates in 114.3 CMR 6.00: Rates of Payment for Mental Health Services Provided in Community Health Centers and Mental Health Centers; for psychologi- cal testing, rates in 114.3 CMR 29.00: Psychological Services; for methadone service, rate in 101 CMR 346.00: Rates for Certain Substance Abuse Programs Radiology Applicable CPT Code 114.3 CMR 18.00: Radiology Clinical Laboratory CPT Lab Codes 114.3 CMR 20.00: Clinical Laboratory Services Dental CDT - HCPC - D codes 114.3 CMR 14.00: Dental D9450 (case presentation - CHC Services enhancement) 340B Pharmacy MassHealth Pharmacy On-line 114.3 CMR 31.00: Prescribed Payment System Drugs; The payment will be reduced by the amount of patient cost-sharing set forth in 114.6 CMR 13.00: Health Safety Net Eligible Services Vision Care (diagnostic) Exam, diagnostic tests 100% Medicare FQHC rate for all inclusive visit; limit one visit per day Vision Care (dispensing, repair) V-codes glasses; 101 CMR 315.00: Vision Care fitting/dispensing/repair Services and Ophthalmic Materials Medical Nutrition Therapy MassHealth identified codes 101 CMR 317.00: Medicine Diabetes Self -management MassHealth identified codes 101 CMR 317.00: Medicine Treatment Tobacco Cessation Services MassHealth identified codes 101 CMR 317.00: Medicine Preventative Services/Risk 99402 114.3 CMR 12.00: Family Factor Reduction Planning Services Immunization visits 90470-90473 101 CMR 317.00: Medicine Vaccines not included in the CPT codes 101 CMR 317.00: Medicine Medical Visit or supplied by DPH Family Planning Services MassHealth identified codes 114.3 CMR 12.00: Family Planning Services

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(a) Some codes under 101 CMR 614.07(2) are listed as individual consideration. For individual consideration codes billable to the Health Safety Net, the payment rate will be calculated as (total payments made to Community Health Centers by MassHealth for the code) / (total number of claims paid by MassHealth for the code) during Fiscal Year 2012.

(3) Urgent Care Bad Debt Payments. The Health Safety Net Office will pay Community Health Centers at 75% of the payment rates in 101 CMR 614.07(2) for Urgent Care Bad Debt claims that meet the requirements in 114.6 CMR 13.00: Health Safety Net Eligible Services.

614.08: Reporting Requirements

(1) General. Each Provider, Surcharge Payer and Ambulatory Surgical Center shall file with or make available to the Health Safety Net Office or to an entity designated by the Health Safety Net Office to collect data, as applicable, information that is required or that the Health Safety Net Office deems reasonably necessary for implementation of 101 CMR 614.00. (a) The Health Safety Net Office may revise the data specifications, the data collection scheduled, or other administrative requirements from time to time by administrative bulletin. (b) The Health Safety Net Office or its designee may audit data submitted under 101 CMR 614.00 to ensure accuracy. The Health Safety Net Office may adjust payments to reflect audit findings. Providers must maintain records sufficient to document compliance with all documentation requirements of 114.6 CMR 13.00: Health Safety Net Eligible Services and 101 CMR 614.00.

(2) Hospitals. (a) The Health Safety Net Office may require Hospitals to submit interim data on revenues and costs to the Health Safety Net or to an entity designated by the Health Safety Net Office to collect data to monitor compliance with federal Upper Limit, Cost Limit, and Disproportionate Share payment limits. Such data may include, but not be limited to, Gross and Net Patient Service Revenue for Medicaid non-managed care, Medicaid managed care, the Premium Assistance Payment Program Operated by the Health Connector, and all payers combined; and total patient service expenses for all payers combined. (b) Surcharge Payment Data. 1. Unmatched Payer Report. Each Hospital must submit to the Health Safety Net a quarterly Unmatched Payer Report. The Hospital must report the total amount of payments for services received from each Institutional Payer that does not appear on the Registered Payer List. The Hospital must report these data in an electronic format specified by the Health Safety Net Office. 2. Quarterly Report for Private Sector Payments. Each Hospital must report to the Health Safety Net total payments made by the largest Institutional Surcharge Payers. The Health Safety Net Office will specify: the Institutional payers for which reporting is required, the periods for which reporting is required, and the reporting format. The Health Safety Net Office may modify the reporting requirements by administrative bulletin. (c) Penalties. The Health Safety Net Office may deny payment for Eligible Services to any Hospital that fails to comply with the reporting requirements of 114.6 CMR 13.00: Health Safety Net Eligible Services or 101 CMR 614.00 until such Hospital complies with the requirements. The Health Safety Net Office will notify such Hospital in advance of its intention to withhold payment.

(3) Community Health Centers. The Health Safety Net Office may deny payment for Eligible Services to any Community Health Center that fails to comply with the reporting requirements of 114.6 CMR 13.00: Health Safety Net Eligible Services or 101 CMR 614.00 until such Community Health Center complies with the requirements. The Health Safety Net Office will notify such Community Health Center in advance of its intention to withhold payment.

(4) Surcharge Payers. (a) Monthly Surcharge Payment Report. The Health Safety Net Office may require that an Institutional Payer submit to the Health Safety Net Office monthly reports of payments to Hospitals and Ambulatory Surgical Centers.

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(b) Third Party Administrators. A Third Party Administrator Surcharge Payer that makes payments to Hospitals and Ambulatory Surgical Centers on behalf of one or more insurance carriers must file an annual report with the Health Safety Net Office. The report shall include the name of each insurance carrier for which it makes surcharge payments. The Health Safety Net Office may also specify additional reporting requirements concerning payments made on behalf of self-insured plans. Reports shall be in an electronic format specified by the Health Safety Net Office. Said reports shall be filed by July 1st of each year for the time period defined by the Health Safety Net Office. (c) Penalties. Any Surcharge Payer that fails to file data, statistics, schedules, or other information with the Health Safety Net Office pursuant to 101 CMR 614.08(4) or which falsifies same, shall be subject to a civil penalty of not more than $5,000 for each day on which such violation occurs or continues, which penalty may be assessed in an action brought on behalf of the Commonwealth in any court of competent jurisdiction. The Attorney General shall bring any appropriate action, including injunction relief, as may be necessary for the enforcement of the provisions of 101 CMR 614.00.

(5) Ambulatory Surgical Centers. (a) Unmatched Payer Report. Each Ambulatory Surgical Center must submit a quarterly Unmatched Payer Report to the Health Safety Net Office in accordance with a schedule specified by the Health Safety Net Office. The Ambulatory Surgical Center must report the total amount of payments for services received from each Institutional Surcharge Payer that does not appear on the Registered Payer List. The Ambulatory Surgical Center must report these data in an electronic format specified by the Health Safety Net Office. (b) Quarterly Report for Private Sector Payments. Each Ambulatory Surgical Center must report to the Health Safety Net Office total payments made by the largest Institutional Surcharge Payers. The Health Safety Net Office will specify the Institutional Payers for which reporting is required, the periods for which reporting is required, and the reporting format. The Health Safety Net Office may modify the reporting requirements by administrative bulletin.

614.09: Special Provisions

(1) Financial Hardship. A Hospital or Surcharge Payer may request a deferment or partial payment schedule due to financial hardship. (a) In order to qualify for such relief, the Hospital or Surcharge Payer must demonstrate that its ability to continue as a financially viable going concern will be seriously impaired if payments pursuant to 101 CMR 614.04 or 614.05 were made. (b) If the Health Safety Net Office finds that payments would be a financial hardship, the Health Safety Net Office may, at its discretion, establish the terms of any deferment or partial payment plan deferment. The deferment or payment schedule may include an interest charge. 1. The interest rate used for the payment schedule shall not exceed the prime rate plus 2%. The prime rate used shall be the rate reported in the Wall Street Journal dated the last business day of the month preceding the establishment of the payment schedule. 2. A Surcharge Payer may make a full or partial payment of its outstanding liability at any time without penalty. 3. If a Surcharge Payer fails to meet the obligations of the payment schedule, the Health Safety Net Office may assess penalties pursuant to 101 CMR 614.05.

(2) Severability. The provisions of 101 CMR 614.00 are severable. If any provision or the application of any provision to any Hospital, Community Health Center, surcharge payer or Ambulatory Surgical Center or circumstances is held to be invalid or unconstitutional, and such invalidity shall not be construed to affect the validity or constitutionality of any remaining provisions of 101 CMR 614.00 or the application of such provisions to Hospitals, Community Health Centers or circumstances other than those held invalid.

4/11/14 (Effective 10/1/13) 1147 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. 101 CMR: EXECUTIVE OFFICE OF HEALTH AND HUMAN SERVICES

614.09: continued

(3) Administrative Bulletins. The Health Safety Net Office may issue administrative bulletins to clarify policies and understanding of substantive provisions of 101 CMR 614.00 and specify information and documentation necessary to implement 101 CMR 614.00.

REGULATORY AUTHORITY

101 CMR 614.00: M.G.L. c. 118E.

4/11/14 (Effective 10/1/13) 1148 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 # 1,142

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 105 CMR 171.000

CHAPTER TITLE: Massachusetts First Responder Training

AGENCY: Department of Public Health

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. This amendment will require first responders to be trained in administration of naloxone as part of their regular training. This amendment also sets out the required documentation municipalities must maintain in order to permit first responders to carry and adminster naloxone.

REGULATORY AUTHORITY: M.G.L. c. 111, sec. 201

AGENCY CONTACT: Rebecca Rodman PHONE: 617-994-9811

ADDRESS: 250 Washington 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. This amendment was adopted as an emergency to provide municipalities with access to naloxone to help address the opiate overdose epidemic.

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 Municipal Association 3/27/14 Executive Office of Communities and Development 3/27/14

PUBLIC REVIEW - M.G.L. c. 30A sections 2 and/or 3 requires notice of the hearing or comment period, including a small business impact statement, 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: April 25, 2014

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 83 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:

For the first five years:

No fiscal effect: There will be no fiscal effect

SMALL BUSINESS IMPACT - M.G.L. c. 30A section 5 requires each agency to file an amended small business impact statement with the Secretary of the Commonwealth prior to the adoption of a proposed regulation. If the purpose of this regulation is to set rates for the state, this section does not apply.

Date amended small business impact statement was filed:

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

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 105 CMR 171.000

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: Mar 27 2014

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1258 DATE: 04/11/2014

EFFECTIVE DATE: 03/27/2014

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: This is an emergency There are no replacement regulation. pages.

03/27/2014 cm

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 84 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 105 CMR: DEPARTMENT OF PUBLIC HEALTH

171.130: continued

(B) Any course which has received prior approval by the Program Director as at least equivalent in scope and quality to 105 CMR 171.130(A), such as: (1) an emergency medical technician training course approved by the Department pursuant to 105 CMR 170.000; and (2) the Advanced First Aid and Emergency Care Course conducted by the American Red Cross; or (3) in the case of lifeguards only, a standard first aid course or an equivalent training course as determined by the department.

171.150: Initial Training in Cardiopulmonary Resuscitation

Initial training in cardiopulmonary resuscitation shall mean, at a minimum, successful completion of a basic cardiac life support health care professional rescuer course in cardiopulmonary resuscitation, including use of an automatic/semi-automatic defibrillator, no less than the standard established by the Committee on Cardiopulmonary Resuscitation and Emergency Cardiac Care of the American Heart Association, which results in receipt of a training card.

171.160: Refresher Training in Cardiopulmonary Resuscitation

Refresher training in cardiopulmonary resuscitation shall mean, at a minimum, successful completion of either a basic or a refresher training course in cardiopulmonary resuscitation-basic life support, no less than the standard established by the Committee on Cardiopulmonary Resuscitation and Emergency Cardiac Care of the American Heart Association, which results in renewal of the training card.

171.165: Approval of Programs for Training First Responders in Epinephrine Auto-injector Devices and Naloxone or Other Opioid Antagonist Approved by the Department

The Department shall approve training programs for first responders in the use of epinephrine auto-injector devices and naloxone or other opioid antagonist approved by the Department that meet the following requirements:

(A) Such program's medical director has approved the specific training program; and

(B) The training program meets the minimum standards established by the Department as administrative requirements.

171.180: Optional Utilization of Automatic/Semi-automatic Defibrillation

A first responder may utilize automatic/semi-automatic defibrillation equipment, provided that:

(A) The first responder meets the requirements for training pursuant to 105 CMR 171.150; and

(B) The utilization is in accordance with the Statewide Treatment Protocols established under 105 CMR 170.000; and

(C) The first responder is affiliated with a first responder agency the meets the requirements of 105 CMR 171.225.

171.200: Maintenance of Records

Each first responder agency shall maintain current, accurate records documenting first aid training, including cardiopulmonary resuscitation training, for each first responder. Such records shall be maintained at the main office of the first responder agency and shall be available for inspection by the Department. Records shall be kept for a period of not less than five years after completion of the training program and shall be stored in such a manner as to ensure reasonable safety from water and fire damage.

4/11/14 (Effective 3/37/14) 10311031 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. 105 CMR: DEPARTMENT OF PUBLIC HEALTH

171.210: Contents of Records

The following records shall be maintained for each first responder:

(A) For training that complies with 105 CMR 171.130(A), an outline of the training program, including the location, date and name of the course, attendance and examination records, an outline of the course contents, and documentation of the qualifications of the primary instructor, or

(B) For training that complies with 105 CMR 171.130(A) or (B), a copy of current certification or other documentation of successful completion of training, and

(C) A copy of a current training card documenting successful completion of initial and refresher training, as required by 105 CMR 171.150 or 171.160.

171.220: Records Issued to the First Responder by the First Responder Agency

Each first responder agency shall issue to each first responder a card or other record documenting successful completion of initial and refresher training programs. The card or other record shall include the location, date and name of the course taken and shall be signed by the primary instructor and the chief executive officer. A current training card documenting successful completion of initial or refresher training required by 105 CMR 171.150 and 171.160, or, only in the case of lifeguards, standard first aid or equivalent first aid training card, or current certification as an EMT shall be deemed equivalent and will be acceptable under 105 CMR 171.220.

171.223: Appointment of Designated Infection Control Officer

For the purpose of receiving notifications and responses from health care facilities regarding exposures to infectious diseases dangerous to the public health, as defined in 105 CMR 172.001, reporting said exposures to first responders, and making requests on behalf of first responders, each first responder agency shall appoint one officer of the agency to act as a designated infection control officer. Each agency shall ensure that its first responders are informed of the requirements relating to the reporting of exposures to the infectious diseases set forth in 105 CMR 172.001: Definitions - Infectious Diseases Dangerous to the Public Health.

171.225: Documentation Required for Optional Use of Automatic/Semi-automatic Defibrillation

Any first responder agency that chooses to utilize automatic/semi-automatic defibrillation shall maintain a memorandum of agreement with a hospital or a consortium of hospitals, to provide medical control for first responders. The agreement shall identify a medical director to assume responsibility for all aspects of medical control of the program. Medial control shall include:

(A) The review of all uses of automatic/semi-automatic defibrillators by first responders;

(B) The maintenance of a systemwide database of cardiac arrest trip records filed by first responders with participating services, and the submission of summary reports to the Department upon request;

(C) The establishment of policies: (1) to ensure that first responders complete the manufacturer’s training in use of the automatic/semiautomatic defibrillator; (2) for proper preventive maintenance schedules of automatic/semi-automatic defibrillator equipment; and (3) to ensure that trip records are submitted to the medical director and appropriate health care facilities to which patients are transported.

8/29/03 (Effective 7/18/03) - corrected 105 CMR - 1032 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 105 CMR: DEPARTMENT OF PUBLIC HEALTH

171.227: Documentation Required for Optional Use of Epinephrine Auto-injector Devices and/or Naloxone or Other Opioid Antagonist Approved by the Department

Any first responder agency that chooses to utilize epinephrine auto-injector devices, in accordance with 105 CMR 700.003(D), shall maintain a current memorandum of agreement with a hospital or hospital consortium to provide medical control for their first responders authorized to utilize epinephrine auto-injector devices. The agreement shall identify a medical director to assume responsibility for all aspects of the medical control of the program. Any first responder agency that chooses to utilize naloxone or other opioid antagonist in accordance with 105 CMR 700.003(D) shall maintain a current memorandum of agreement with a medical director. The memorandum of agreement in each case shall address acquisition and replacement of the devices, quality assurance, treatment protocols, training, record keeping, shelf life of the medication and proper storage and disposal conditions.

171.230: Severability

The provisions of 105 CMR 171.000 are severable. If any provision shall be determined invalid by any court, such provision shall be null and void and such determination shall not affect or impair any of the remaining provisions.

REGULATORY AUTHORITY

105 CMR 171.000: M.G.L. c. 111, § 201.

4/11/14 (Effective 3/37/14) 10331033 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. 105 CMR: DEPARTMENT OF PUBLIC HEALTH

(PAGES 1035 THROUGH 1038 ARE RESERVED FOR FUTURE USE.)

7/18/03 105 CMR - 1034 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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 # 1,143

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 105 CMR 700.000

CHAPTER TITLE: Implementation of M.G.L. c. 94C

AGENCY: Department of Public Health

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. This amendment permits municipalities to register with the Department in order to permit first responders to carry and administer naloxone in accordance with the Massachusetts First Responder Training regulations, and institutes procedures to ensure that the naloxone is packaged and dispensed properly.

REGULATORY AUTHORITY: M.G.L. c. 94C, sec. 7(g)

AGENCY CONTACT: Rebecca Rodman PHONE: 617-994-9811

ADDRESS: 250 Washington 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. This amendment was adopted as an emergency to provide municipalities with access to naloxone to help address the opiate overdose epidemic.

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 Municipal Association 3/27/14 Executive Office of Communities and Development 3/27/14

PUBLIC REVIEW - M.G.L. c. 30A sections 2 and/or 3 requires notice of the hearing or comment period, including a small business impact statement, 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: April 25, 2014

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 85 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: Optional program. If municipalities choose to participate, costs will be between $2,000 - $3,000/year for a municipality For the first five years:

No fiscal effect:

SMALL BUSINESS IMPACT - M.G.L. c. 30A section 5 requires each agency to file an amended small business impact statement with the Secretary of the Commonwealth prior to the adoption of a proposed regulation. If the purpose of this regulation is to set rates for the state, this section does not apply.

Date amended small business impact statement was filed:

CODE OF MASSACHUSETTS REGULATIONS INDEX - List key subjects that are relevant to this regulation: M.G.L. c. 94C

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: 105 CMR 700.000

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: Mar 27 2014

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1258 DATE: 04/11/2014

EFFECTIVE DATE: 03/27/2014

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: This is an emergency There are no replacement regulation. pages.

03/27/2014 cm

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 86 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 105 CMR: DEPARTMENT OF PUBLIC HEALTH

700.003: continued

(c) The nurse practitioner, psychiatric nurse, nurse anesthetist or physician assistant registers with the Department's Division of Food and Drugs, in accordance with 105 CMR 700.004 and with the Drug Enforcement Administration, in accordance with 21 CFR 1300. (d) The nurse practitioner, psychiatric nurse, nurse anesthetist or physician assistant practices in accordance with written guidelines governing the prescription of medication mutually developed and agreed upon by the nurse practitioner, psychiatric nurse, nurse anesthetist or physician assistant and a supervising physician pursuant to regulations promulgated under M.G.L. c. 112, §§ 80B, 80E, and 80H and M.G.L. c. 112, § 9E that describes the methods to be followed in managing a health care situation or in resolving a health care problem. All prescriptions issued by the nurse practitioner, psychiatric nurse, nurse anesthetist or physician assistant are consistent with the scope of practice as defined by 244 CMR 4.26 for nurses practicing in the expanded role and 263 CMR 5.00: Scope of Practice and Employment of Physician Assistants for physician assistants. (e) The nurse practitioner, psychiatric nurse, nurse anesthetist or physician assistant may order controlled substances in Schedule VI from a drug wholesaler, manufacturer, laboratory or distributor. For the purpose of dispensing medication in Schedules II-V for immediate treatment, the nurse practitioner, psychiatric nurse, nurse anesthetist or physician assistant may obtain such medication only as supplied by the supervising physician, obtained through a written prescription for the patient, or in the case of a nurse anesthetist, as supplied by a practitioner for immediate treatment of a patient, in accordance with guidelines of the Board of Registration in Medicine. (f) A nurse practitioner, psychiatric nurse, nurse anesthetist or physician assistant may issue oral prescriptions in accordance with M.G.L. c. 94C, § 20, provided that the person issuing the prescription clearly identifies his or her name and professional designation to the pharmacist and provides his or her registration number, work address, phone number, and the name of the supervising physician. An oral prescription shall be followed up with a written prescription by the nurse practitioner, psychiatric nurse, nurse anesthetist or physician assistant to be provided to the pharmacist or postmarked within a period of not more than seven days or such shorter period as required by federal law, in accordance with M.G.L. c. 94C, § 20. (g) A nurse practitioner, psychiatric nurse, nurse anesthetist or physician assistant may prescribe controlled substances for a patient in a health facility or other setting through use of written medication orders entered on the patient's medical record maintained at the facility, provided that such written orders meet all applicable provisions of 105 CMR 700.000. (2) A nurse midwife may issue written prescriptions and medication orders, in accordance with the provisions of M.G.L. c. 112, §§ 80C and 80G, for those controlled substances in Schedules II through VI.

(D) Persons specified in 105 CMR 700.003(D) may administer epinephrine, naloxone or other opioid antagonist approved by the Department, or atropine, pralidoxime chloride or other designated nerve agent antidotes in a life threatening emergency, where medical professionals are not readily available, in accordance with any applicable Department protocols and the following: (1) To the extent authorized by 105 CMR 700.003(D), the following persons may administer epinephrine, naloxone or other opioid antagonist approved by the Department, or nerve agent antidotes: (a) a first responder may administer epinephrine or naloxone or other opioid antagonist approved by the Department in accordance with 105 CMR 171.000: Massachusetts First Responder Training and the Statewide Treatment Protocols; (b) a public employee of or volunteer to a municipality or an agency, department or authority of the Commonwealth (“agency”), whose function includes emergency preparedness and response and who is designated by a municipality’s or agency’s medical director pursuant to 105 CMR 700.003(6)(b) (“authorized public employee”), may administer epinephrine or naloxone or other opioid antagonist approved by the Department as well as atropine, pralidoxime chloride and other nerve agent antidotes approved by the Department (“nerve agent antidotes”) to another authorized public employee; and

4/11/14 (Effective 3/27/14) 3983 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. 105 CMR: DEPARTMENT OF PUBLIC HEALTH

700.003: continued

(c) an authorized employee of or volunteer to a facility or program funded, operated or licensed by a municipality or agency may administer epinephrine or naloxone or other opioid antagonist approved by the Department to individuals served by such a program or facility (“program”); (2) A municipality or agency may approve administration of epinephrine, naloxone or other opioid antagonist approved by the Department, or nerve agent antidotes by authorized public employees, and a municipality or agency may approve administration of epinephrine by employees or volunteers of a program, provided that the municipality or agency registers with the Department in accordance with 105 CMR 700.004. This registration requirement shall not apply to: (a) a municipality or agency registered under 105 CMR 700.004(A)(2)(a) through (t); (b) a school district or non-public school subject to the provisions of 105 CMR 210.000: The Administration of Prescription Medications in Public and Private Schools; (3) Any administration is pursuant to the order of a practitioner, and, in the case of first responders, the Statewide Treatment Protocols; (4) The epinephrine, naloxone or other opioid antagonist approved by the Department or nerve agent antidote is: (a) dispensed by a pharmacy pursuant to the order or prescription of a practitioner or other authorized prescriber; or (b) obtained by a municipality or agency in accordance with said entity’s registration. (5) The epinephrine or nerve agent antidote is packaged in a prefilled, automatic injection device intended for self-administration, and the naloxone or other opioid antagonist approved by the Department is in the manufacturer's original packaging; (6) A qualified, licensed practitioner shall be designated by the registered municipality or agency as medical director for purposes of 105 CMR 700.003(D). Such person shall: (a) be the responsible person named on the registration of the municipality or agency; (b) authorize administration of epinephrine, naloxone or other opioid antagonist approved by the Department and nerve agent antidotes, as appropriate, and oversee compliance with 105 CMR 700.003(D); (c) establish and enforce written protocols and procedures to ensure that individuals administering epinephrine, naloxone or other opioid antagonist approved by the Department or nerve agent antidotes are properly trained, evaluated for competence, and up to date in their skills and knowledge. Training shall include, but not be limited to: 1. procedures for risk reduction; 2. recognition of the symptoms of an opioid overdose or a severe allergic or nerve agent reaction; 3. proper use of an auto-injector for epinephrine or nerve agent antidote, and other acceptable method of administration for naloxone; 4. procedures for notification of emergency medical services and other appropriate persons following administration; (d) establish and enforce written protocols and procedures to ensure: 1. proper storage, handling and return or disposal of naloxone or other opioid antagonist approved by the Department, epinephrine or nerve agent antidote; 2. review and evaluation of an emergency response; 3. reporting of adverse events to the medical director; 4. monitoring of program compliance with 105 CMR 700.003(D); and (e) establish and enforce written protocols and procedures to ensure that a registered municipality or agency, or a program if authorized to administer epinephrine or naloxone or other opioid antagonist approved by the Department by a municipality or agency, maintains current and readily retrievable records of: 1. the authorized public employees or volunteers who may administer epinephrine and nerve agent antidotes or authorized program employees or volunteers who may administer epinephrine; 2. individual trainings and evaluations; 3. receipt and any return or disposal of epinephrine, naloxone or other opioid antagonist approved by the Department or nerve agent antidotes; and 4. administration of epinephrine, naloxone or other opioid antagonist approved by the Department or nerve agent antidote;

4/11/14 (Effective 3/27/14) 3984 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. 105 CMR: DEPARTMENT OF PUBLIC HEALTH

700.003: continued

(7) Each program authorized by a registered municipality or agency to administer epinephrine or naloxone or other opioid antagonist approved by the Department pursuant to 105 CMR 700.003(D) shall: (a) comply with the policies and procedures established pursuant to 105 CMR 700.003(D) by the registered municipality or agency; (b) designate a licensed health care practitioner, whenever possible, or the program director or designee, to oversee the program’s implementation of said policies and procedures; (c) in the case of minors served by the program, obtain prior informed consent whenever possible from the minor’s parent or legal guardian for the administration of epinephrine; (d) develop individualized medication administration plans that address indications for administration of epinephrine or naloxone or other opioid antagonist approved by the Department, any unique issues around storage or handling of the epinephrine or naloxone or other opioid antagonist approved by the Department and persons to be notified in the event that epinephrine or naloxone or other opioid antagonist approved by the Department is administered; and

4/11/14 (Effective 3/27/14) 3984.1 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. 105 CMR: DEPARTMENT OF PUBLIC HEALTH

NON-TEXT PAGE

4/11/14 (Effective 3/27/14) 3984.2 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. 105 CMR: DEPARTMENT OF PUBLIC HEALTH

700.003: continued

(e) immediately notify emergency medical services and designated contact persons, including those identified in the medication plan, in the event that epinephrine or naloxone or other opioid antagonist approved by the Department is administered; and (8) The registered municipality or agency, and the Department of Public Health, shall have full access to all pertinent records for monitoring purposes.

(E) A school district or private school may register solely for the purpose of permitting trained school personnel to administer controlled substances in accordance with 105 CMR 210.000: The Administration of Prescription Medications in Public and Private Schools.

(F) An employee of a community program may administer or assist in the administration of a controlled substance or other prescription medication (prescription drug) to a non-self- administering person, provided that: (1) Registration. The community program is registered with the department in accordance with 105 CMR 700.004, and meets the following requirements: (a) Administration or assistance in the administration of prescription medication to a non-self-administering individual shall be carried out only by a duly licensed professional staff or by an unlicensed program staff of a registered community program who has successfully completed the training specified in 105 CMR 700.003(F)(2); (b) The program shall establish, maintain, and operate in accordance with policies that ensure that only properly trained and certified personnel administer medication; (c) The program shall maintain a current written listing of those staff members who have successfully completed a training program meeting the requirements of 105 CMR 700.003(F)(2); (d) The Department of Public Health shall be permitted by the program to inspect program and individuals' records pertaining to the use and administration of prescription medications and is permitted announced or unannounced on-site visits or inspections of common areas and such other inspections as the Department of Public Health is authorized to make in order to monitor the program's compliance with 105 CMR 700.000. (e) The Drug Control Program within the Department of Public Health shall promptly be notified by the program of any suspected shortages or diversion of prescription medication; (f) The program shall document in the individual's record any administration of prescription medication in a manner inconsistent with the practitioner's prescription or order or in violation of 105 CMR 700.000. The program shall also promptly report to the Department of Mental Health, Department of Developmental Services, or Department of Children and Families, in accordance with procedures and on a form approved jointly by the Department of Public Health and said Departments, any administration of prescription medication in a manner inconsistent with the practitioner's prescription or in violation of 105 CMR 700.000. Such form shall be provided, upon request, to the Department of Public Health; (g) The program shall provide or arrange for technical assistance and advice to be provided as needed by a Registered Nurse, Registered Pharmacist, or other Licensed Practitioner when questions arise regarding appropriate administration practices or the effects of medications. The program shall establish policies and procedures that ensure reasonable access to such assistance and advice; (h) The program, professional staff and program staff shall comply with all applicable requirements of M.G.L. c. 94C, the Controlled Substances Act, as well as 105 CMR 700.000 and all pertinent regulations of the Department of Mental Health, Department of Developmental Services, or Department of Children and Families, as appropriate, including those pertaining to storage, labeling, administration and documentation of prescription medication, medical back-up, review of medication, and emergency procedures. (2) Training. No unlicensed staff person may administer or assist in the administration of a prescription medication without successfully completing a training program that meets the specifications for a training curriculum and examination process established jointly by the Department of Public Health and the Department of Mental Health, Department of Developmental Services, or Department of Children and Families, as well as the following requirements:

4/11/14 (Effective 3/27/14) 3985 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. 105 CMR: DEPARTMENT OF PUBLIC HEALTH

700.003: continued

(a) The training program shall be taught by a registered nurse, nurse practitioner, physician assistant, pharmacist, or physician who meets applicable requirements for a trainer established jointly by the Department of Public Health and the Department of Mental Health, Department of Developmental Services, or Department of Children and Families; (b) The Department of Public Health and, as appropriate, the Department of Mental Health, Department of Developmental Services, and Department of Children and Families shall have the authority to monitor the training program for compliance with established standards; (c) The training program shall keep records of all persons who have successfully completed the training program which shall be made available to the Department of Public Health and, as appropriate, to the Department of Mental Health, Department of Developmental Services, or Department of Children and Families upon request; (d) Each person who successfully completes the training program shall be certified by the Department of Mental Health, Department of Developmental Services, and Department of Children and Families, and shall be provided with such documentation of completion of the training program as approved by the Department of Mental Health, Department of Developmental Services, and Department of Children and Families. Documentation of certification shall be provided to and maintained by the program; (e) No person may continue to administer or assist in the administration of prescription medication beyond two years from the completion of the initial certification unless such person has met standards for retraining and/or retesting established by the Department of Mental Health, Department of Developmental Services, and Department of Children and Families and approved by the Department of Public Health. (3) Storage. The program meets all applicable regulations of the Department of Mental Health, Department of Developmental Services, or Department of Children and Families, as appropriate, and Department of Public Health regarding storage and handling of prescription medications as well as the following requirements: (a) All prescription medications that are consumed by individulas who are non-self- administering shall be appropriately secured in a locked container or area. The program shall have a written policy on which persons may have access to such container or area, how access to the key or combination and container or area is to be restricted, and under what conditions authorized persons may have access to the container or area; (b) Prescription medications for individuals who are self-administering shall be stored in a locked container or area unless the program director makes a determination that unlocked storage of the prescription medication poses no threat to the health or safety of the individual or other individuals; provided, however, that all controlled substances in Schedules II through V shall be appropriately secured in a locked container or area; (c) Outdated prescription medications and prescription medications that have not been administered due to a change in the prescription or a stop order shall be disposed of and the disposal documented in accordance with policies established by the program, provided that disposal occurs in the presence of at least two witnesses and in accordance with any policies of the Department of Public Health: (4) Labeling. All medications are properly labeled in accordance with M.G.L. c. 94C, § 21 and the following requirements: (a) Program staff shall not repack or relabel prescription medications that are taken or applied at any location or program regularly or frequently attended by the individual. All such prescription medications shall be packed and labeled by a pharmacist or, in the case of prescription medication dispensed for immediate treatment, by the dispensing practitioner; (b) Where prescription medication is consumed by an individual at two or more locations on a regular or frequent basis, the prescription medication shall be stored in a separate, properly packaged, labeled, and appropriately secured medication container at each location. In circumstances in which this is not practical or feasible, the Department of Mental Health, Department of Developmental Services, or Department of Children and Families shall establish an alternative procedure approved by the Department of Public Health. (c) The program shall have policies for obtaining a properly labeled container where there is a change in prescription or where the individual frequently or regularly receives prescription medication in two or more locations.

2/1/13 105 CMR - 3986 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 105 CMR: DEPARTMENT OF PUBLIC HEALTH

700.004: continued

(2) Persons exempted from the requirement to register by M.G.L. c. 94C are: (a) An agent or employee of a registered manufacturer, distributor or dispenser acting in the usual course of his or her business or employment; (b) A common or contract carrier or warehouseman or his or her employee, acting in his or her usual course of business or employment; (c) A public official or law enforcement officer acting in the regular performance of his or her official duties. (d) An ultimate user or research subject, at the direction of a practitioner in the course of his or her professional practice; (e) A registered nurse or licensed practical nurse acting under the direction or authorization of a practitioner in the course of their professional practices. (3) Any student enrolled in a school for nurses or practical nurses duly approved in accordance with M.G.L. c. 112, is exempted from the requirement to register when: (a) Performing nursing services incidental to any prescribed course in such school, and (b) Authorized or directed by a physician, dentist, podiatrist, veterinarian, nurse midwife, nurse practitioner, psychiatric nurse, nurse anesthetist or physician assistant duly registered under 105 CMR 700.000. (4) Certain persons engaged in interstate or foreign commerce are exempted from the requirement to register with respect to the exempted business activities only as follows: (a) Vessels engaged in international trade or in trade between ocean ports of the United States. (b) Aircraft operated by air carriers under a certificate or permit issued pursuant to the Federal Aviation Act of 1958. (c) Persons who import controlled substances into the jurisdiction of the United States, and are in compliance with applicable Federal Law. (d) Persons who export controlled substances from the jurisdiction of the United States, and are in compliance with applicable Federal law. (5) An intern, fellow, medical officer, alien physician, registered nurse, licensed practical nurse, or other authorized person may dispense controlled substances under the registration of the hospital or other registered health facility by which he is employed and a "responsible person", as defined by the Department, may dispense controlled substances by ingestion only at the direction of a practitioner in the course of his professional practice, under the registration of the registered health facility by which such person is employed, in lieu of being registered himself or herself provided that: (a) He or she is authorized to dispense controlled substances in accordance with M.G.L. c. 112 if applicable, and (b) Such dispensing is done in the usual course of his business or professional practice, and (c) The hospital or other registered health facility by whom he is employed has verified with the appropriate Board of Registration, if applicable, that the person is permitted to dispense controlled substances within Massachusetts, and (d) Such person is acting only within the scope of his employment in the hospital or other registered health facility, and (e) The hospital or other registered health facility authorizes the person to dispense controlled substances under the registration number of the hospital or other registered health facility and designates a specific internal code to consist of a numeric suffix to the health facility registration number preceded by a hyphen for each such person so authorized, and (f) The hospital or other registered health facility maintains a current list of internal codes and makes such codes available at all times to other registrants, the Commissioner, and authorized law enforcement agencies. (6) A registered pharmacist may dispense by administration influenza vaccine and other immunizations designated by the Department to persons 18 years of age or older provided that: (a) Such registered pharmacist is authorized to dispense controlled substances in accordance with M.G.L. c. 112; (b) Such administration is conducted pursuant to the order of a practitioner; and (c) Such activity is conducted in accordance with guidelines adopted by the Department which shall include, but not be limited to, requirements for:

9/2/11 105 CMR - 3991 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 105 CMR: DEPARTMENT OF PUBLIC HEALTH

700.004: continued

1. training accredited by the Centers for Disease Control and Prevention, the American Council on Pharmaceutical Education or a similar health authority or professional body; and 2. pre-administration education and screening; 3. vaccine storage and handling; 4. administration of medication, including administration of controlled substances as necessary for the management of medical emergencies; 5. record keeping; and 6. reporting of adverse events. (7) A health care professional duly licensed or certified by the Department or a student duly enrolled in an approved or accredited program for such licensure or certification and authorized by 105 CMR 700.003(H) to possess and administer vaccine is exempt from registration for purposes of administering vaccine pursuant to 105 CMR 700.003(H).

(C) Separate Registrations Required for Separate Activities. Each person shall obtain a separate registration for each group of activities in which he or she engages. (1) A person engaged in one of the following business or professions shall be deemed to be registered only for the activities appropriate to that business or profession as follows: (a) A person registered as a manufacturer is deemed to be 1. registered to manufacture controlled substances, and 2. registered to distribute controlled substances to registered persons. (b) A person registered as a chemical analyst or scientific laboratory is deemed to be 1. registered to manufacture controlled substances, and 2. registered to conduct chemical analysis including quality control with respect to controlled substances, and 3. registered to distribute controlled substances to other registrants. (c) A person registered as a teacher is deemed to be 1. registered to manufacture controlled substances, and 2. registered to conduct instructional activities with controlled substances. (d) A registered physician, dentist, veterinarian, or podiatrist, registered by the appropriate Board of Registration is deemed to be registered to dispense controlled substances. (e) A registered hospital, or other registered health facility is deemed to be registered to dispense controlled substances. (f) A person registered as a researcher is deemed to be, within the scope of the protocol submitted to the Commissioner, if applicable, 1. registered to manufacture controlled substances, and 2. registered to distribute controlled substances to registered persons and 3. registered to conduct research with respect to controlled substances. (g) A registered ambulance service or EFR service shall only be registered to possess those controlled substances and instruments used to administer controlled substances, in quantity and in kind, that are necessary for pre-hospital emergency medical care in accordance with 105 CMR 170.000: Emergency Medical Services System and the Statewide Treatment Protocols and that are obtained from the hospital pharmacy, provided that auto-injectors containing epinephrine, atropine, pralidoxime chloride or other antidotes and medications approved by the Department may be obtained directly from the manufacturer or another source registered by the Department. (h) A registered school is deemed to be registered solely in order to possess fluoride tablets and mouth rinse and to authorize fluoride program monitors and dental hygienists to administer fluoride tablets and mouth rinse in accordance with 105 CMR 700.000. (i) A community program is registered for the sole purpose of authorizing its employees to administer or assist in the administration of controlled substances which are obtained from a pharmacy upon the prescription or order of a practitioner. (j) A municipality or agency of the Commonwealth is registered for the purpose of authorizing possession and administration, in accordance with 105 CMR 700.003(D) of: 1 auto-injectors containing epinephrine for use by first responders and authorized employees and volunteers of a program operated, funded or licensed by the agency; and

4/11/14 (Effective 3/27/14) 3992 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. 105 CMR: DEPARTMENT OF PUBLIC HEALTH

700.004: continued

2. auto-injectors containing epinephrine, atropine, pralidoxime chloride and other nerve agent antidotes approved by the Department for use by public employees and volunteers whose functions include emergency preparedness and response, including first responders. 3. naloxone or other opioid antagonist approved by the Department for use by first responders and authorized employees and volunteers of a program operated, funded or licensed by the agency; and 4. naloxone or other opioid antagonist approved by the Department for use by public employees and volunteers whose functions include emergency preparedness and response, including first responders.

4/11/14 (Effective 3/27/14) 3992.1 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. 105 CMR: DEPARTMENT OF PUBLIC HEALTH

NON-TEXT PAGE

4/11/14 (Effective 3/27/14) 3992.2 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. 105 CMR: DEPARTMENT OF PUBLIC HEALTH

700.004: continued

(k) A pharmacist is registered for the purpose of issuing, modifying or discontinuing a written prescription, oral prescription or medication order in accordance with requirements for collaborative drug therapy management specified in 247 CMR 16.00: Collaborative Drug Therapy Management, 243 CMR 2.12: Collaborative Drug Therapy Management (CDTM) with Authorized Pharmacies and M.G.L. c. 112, § 24B½. (l) A nurse practitioner, psychiatric nurse, nurse anesthetist or physician assistant, authorized and registered by the appropriate board of registration is deemed to be registered to dispense controlled substances in accordance with written guidelines mutually developed and agreed upon with a supervising physician. (m) A nurse midwife, authorized and registered by the Board of Registration in Nursing (244 CMR), is deemed to be registered to dispense controlled substances. (n) A registered optometrist registered by the Board of Registration in Optometry may utilize and issue written prescriptions and medication orders, in accordance with the provisions of M.G.L. c. 112, §§ 66 and 66B, for those topical pharmaceutical agents in Schedule VI required for the diagnosis, prevention, management or treatment of abnormal ocular conditions or diseases as defined in M.G.L. c. 112, § 66, except glaucoma. (2) No person shall engage in any activities involving any controlled substance in any schedule for which he is not registered.

(D) Automatic Registrations. The Commissioner shall automatically issue a registration to dispense controlled substances other than for research pursuant to M.G.L. c. 94C, § 8, to any physician, dentist, podiatrist, or veterinarian who is duly authorized to practice his or her profession in the Commonwealth, provided that, any such physician, dentist, podiatrist, or veterinarian shall only be registered for Massachusetts Schedule VI and for the same schedules as he or she is registered with the Drug Enforcement Administration. (1) Any physician, dentist, podiatrist or veterinarian who is not registered with the Drug Enforcement Administration shall be automatically registered to dispense controlled substances but only for Massachusetts Schedule VI. (2) The Commissioner may periodically recall registrations to dispense controlled substances issued to practitioners, in accordance with M.G.L. c. 94C, § 7(f), and may issue a new registration upon verification that the practitioner continues to be duly authorized to practice his or her profession in Massachusetts.

(E) Time for Application and Term of Registration. No person required to be registered shall engage in any activity for which registration is required until he or she is registered for that activity. (1) Any person who is registered with the Commissioner may apply to be re-registered on a form provided by the Commissioner not more than 60 days before the expiration date of his or her registration. (2) Any registration issued by the Commissioner other than a registration to conduct research activities with Schedule I controlled substances or a registration to dispense automatically issued shall be effective for one year from the date of issuance. (3) A registration issued to conduct research with Schedule I controlled substances shall be for such period, not to exceed one year, as may be specified by the Commissioner. (4) Any person who is registered may at any time apply for a modification of his or her registration on a form supplied by the Commissioner.

(F) Separate Registrations Required for Separate Locations. A separate registration is required at each principal place of business or professional practice at one general physical location where the applicant or registrant manufactures, distributes or dispenses controlled substances, or uses controlled substances in research, teaching, or chemical analysis. (1) The following locations are deemed not to be places where controlled substances are manufactured, distributed, or dispensed: (a) A warehouse where controlled substances are stored by or on behalf of a registered person, unless such substances are distributed directly from such warehouse to registered locations other than the registered location from which the substances were delivered.

4/11/14 (Effective 3/27/14) 3993 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. 105 CMR: DEPARTMENT OF PUBLIC HEALTH

700.004: continued

(b) An office used by an agent of a registrant where sales of controlled substances are solicited, made or supervised but which neither contains such substances, nor serves as a distribution point for filling sales orders. (c) An office or registered hospital or other registered health facility which is used by a registered individual practitioner, pharmacist or optometrist who is registered at another location which is his principal place of professional practice, provided that no controlled substances are maintained by such practitioner at any place where he or she is not registered.

(G) Limitations on Registration for Schedule I. No person other than a person proposing to manufacture controlled substances in Schedule I; or a person proposing to conduct research on human beings involving controlled substances in Schedule I pursuant to M.G.L. c. 94C, § 8; or a person proposing to engage in qualitative or quantitative analysis of those controlled substances in Schedule I within a scientific laboratory shall be registered for activities involving the manufacture, distribution or dispensing of Schedule I controlled substances unless expressly authorized so to do by the Commissioner: (1) Every applicant for registration for activities involving the manufacture, distribution or dispensing of controlled substances in Schedule I shall demonstrate to the satisfaction of the Commissioner, unless waived by the Commissioner: (a) That he or she is registered by the Drug Enforcement Administration specifically to manufacture, or conduct research involving, or to conduct chemical analysis with, controlled substances in Schedule I, and (b) That he or she has never had an application denied or suspended or revoked by the Drug Enforcement Administration or any predecessor agency for violation of any law or regulation and (c) That his or her physical security controls are specifically approved by the Drug Enforcement Administration, and (d) That in the case of an application to conduct research with controlled substances in Schedule I his or her protocol is attached to his or her application and satisfies the requirements of 105 CMR 700.009(H).

(H) Content and Form of Application. Each application for registration, renewal of a registration, or modification of a registration shall be on a form provided or approved by the Commissioner. (1) The application form shall include: (a) The applicant's name; (b) The name and title of a responsible authorized representative of the applicant if the applicant is an institution, corporation, or other entity; (c) The applicant's principal place of carrying on his or her or its business or profession; (d) The applicant's business or professional activity for which he or she proposes to be registered; (e) The schedules for which the applicant wishes to be registered; and (f) The applicant's Drug Enforcement Administration registration number, if any. (g) The application of a nurse practitioner, psychiatric nurse, nurse anesthetist, physician assistant or pharmacist shall include the name and address of a supervising physician, a general description of the supervising physician's scope of practice, and the signature of the supervising physician. The nurse practitioner, psychiatric nurse, nurse anesthetist, physician assistant or pharmacist shall promptly notify the Department of any termination of employment, change of address, or change of supervising physician. (2) The Commissioner may, in his or her judgment, require additional information.

(I) Application to Manufacture a New Controlled Substance. Any person who proposes to manufacture a controlled substance for which he or she is not registered with the Drug Enforcement Administration, shall file with the Commissioner a copy of DEA Form 130, which shall be treated as confidential by said Commissioner. (1) He or she shall file a copy thereof at the time he or she files such form with the Drug Enforcement Administration or before he or she begins manufacture, whichever is earlier. (2) The applicant need not disclose any technical detail of the process which he or she regards as a trade secret but he must identify each substance used in or resulting from successive stages of manufacture, in order to notify the Commissioner of precursors and byproducts.

2/1/13 105 CMR - 3994 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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 # 5,930

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 114.3 CMR 6.00

CHAPTER TITLE: Rates of Payment for Mental Health Services Provided in Community Health Centers and Mental Health Centers AGENCY: Division of 114.3 CMR Health Care Finance and Policy

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. 114.3 CMR 6.00 is being repealed. The Executive Office of Health and Human Services is repromulgating the regulations as 101 CMR 306.00.

REGULATORY AUTHORITY: M.G.L. c. 118E and 12C

AGENCY CONTACT: Deborah Briggs PHONE: 617-847-3302

ADDRESS: 100 Hancock Street, 6th Floor, Quincy, MA 02171

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

EMERGENCY ADOPTION - if this regulation is adopted as an emergency, state the nature of the emergency. 114.3 CMR 6.00, the Division regulation, is being repealed on an emergency basis, and 101 CMR 306.000, the EOHHS successor regulation, is being adopted on an emergency basis, effective for dates of service beginning January 1, 2014.

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: March 25, 2014

PUBLIC REVIEW - M.G.L. c. 30A sections 2 and/or 3 requires notice of the hearing or comment period, including a small business impact statement, 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: May 5, 2014

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 87 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:

For the first five years:

No fiscal effect: No fiscal effect.

SMALL BUSINESS IMPACT - M.G.L. c. 30A section 5 requires each agency to file an amended small business impact statement with the Secretary of the Commonwealth prior to the adoption of a proposed regulation. If the purpose of this regulation is to set rates for the state, this section does not apply.

Date amended small business impact statement was filed: 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: 114.3 CMR 306.00 is being repealed.

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: Mar 27 2014

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1258 DATE: 04/11/2014

EFFECTIVE DATE: 03/27/2014

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: This is an emergency There are no replacement regulation. pages.

03/27/2014 kr

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 88 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 114.3 CMR: DIVISION OF HEALTH CARE FINANCE AND POLICY AMBULATORY CARE

(114.3 CMR 1.00 THROUGH 6.00: RESERVED)

4/11/14 (Effective 3/27/14) 587 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. 114.3 CMR: DIVISION OF HEALTH CARE FINANCE AND POLICY AMBULATORY CARE

(PAGES 589 THROUGH 618 ARE RESERVED FOR FUTURE USE.)

4/11/14 (Effective 3/27/14) 588 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 # 5,921

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 114.6 CMR 14.00

CHAPTER TITLE: Health Safety Net Payments and Funding

AGENCY: Division of 114.6 CMR Health Care Finance and Policy

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. Health Safety Net Payments and Funding regulations govern payments to and from the Health Safety Net Trust Fund, including payments to acute hospitals and community health centers and payments from acute hospitals and surcharge payers.

REGULATORY AUTHORITY: M.G.L. c. 118E; M.G.L. c. 12C

AGENCY CONTACT: Deborah Briggs, MassHealth Publications PHONE: 617-847-3302

ADDRESS: 100 Hancock Street, 6th Floor, Quincy, MA 02171

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

EMERGENCY ADOPTION - if this regulation is adopted as an emergency, state the nature of the emergency. M.G.L. c. 118E, s. 69 requires HSN to pay providers based on Medicare payments; payments must be updated to reflect Medicare changes. Also, the FY14 budget expanded the Total Hospital Assessment and Surcharge amounts to include HSN administrative expenses. These updates must be in place for the start of FY14. This regulation is being repealed to transfer the updated regs to EOHHS. 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: 10/1/13

PUBLIC REVIEW - M.G.L. c. 30A sections 2 and/or 3 requires notice of the hearing or comment period, including a small business impact statement, 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: n/a

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 89 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:

For the first five years:

No fiscal effect: none

SMALL BUSINESS IMPACT - M.G.L. c. 30A section 5 requires each agency to file an amended small business impact statement with the Secretary of the Commonwealth prior to the adoption of a proposed regulation. If the purpose of this regulation is to set rates for the state, this section does not apply.

Date amended small business impact statement was filed: n/a

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: This former Division of Health Care Finance and Policy regulation is being repealed. At the same time, in a separate action, the content is being updated and transferred to EOHHS as a new chapter, 101 CMR 614.00.

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: Mar 27 2014

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1258 DATE: 04/11/2014

EFFECTIVE DATE: 10/01/2013

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: This is an emergency There are no replacement regulation. pages.

03/27/2014 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 90 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. Docket # 971

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 130 CMR 429.000

CHAPTER TITLE: Mental Health Center Services

AGENCY: Division of Medical Assistance

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. The amendments conform and clarify changes that stem from billing of E/M codes and to ensure that its provisions and revisions to 101 CMR 306.000 align. These changes include clarification of ‘crisis intervention’ services as ‘psychotherapy in crisis’ services, and specify the types of staff members, including psychiatric nurse mental health clinical specialists, who are authorized to render mental health services for which mental health centers may bill.

REGULATORY AUTHORITY: M.G.L. c. 118E

AGENCY CONTACT: Deborah Briggs PHONE: 617-847-3302

ADDRESS: 100 Hancock Street, 6th Floor, Quincy, MA 02171

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

EMERGENCY ADOPTION - if this regulation is adopted as an emergency, state the nature of the emergency. This MassHealth regulation at 130 CMR 429.000 is being adopted on an emergency basis along with (adoption)101 CMR 306.00 and (repeal)114.3 CMR 6.00. This emergency adoption complies with St. 2013, c.118, §32, requiring the rates to be effective for dates of service beginning January 1, 2014.

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: March 25, 2014 Executive Office of Communities and Development:March 28, 2014 Massachusetts Municipal Association: March 28, 2014

PUBLIC REVIEW - M.G.L. c. 30A sections 2 and/or 3 requires notice of the hearing or comment period, including a small business impact statement, 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: April 11, 2014 - May 2, 2014

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 91 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: Combined fiscal effect filed with 101 CMR 306.00

For the first five years: See above

No fiscal effect:

SMALL BUSINESS IMPACT - M.G.L. c. 30A section 5 requires each agency to file an amended small business impact statement with the Secretary of the Commonwealth prior to the adoption of a proposed regulation. If the purpose of this regulation is to set rates for the state, this section does not apply.

Date amended small business impact statement was filed:

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: This amends 130 CMR 429.000 by revising sections 429402, 429.403, 429.404, 429.406, 429.408, 429.421,429.422, 429.424, 429.431, and 429.441.

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: Mar 27 2014

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1258 DATE: 04/11/2014

EFFECTIVE DATE: 03/27/2014

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: This is an emergency There are no replacement regulation. pages.

03/27/2014 kr

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 92 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 130 CMR: DIVISION OF MEDICAL ASSISTANCE

130 CMR 429.000: MENTAL HEALTH CENTER SERVICES

Section

429.401: Introduction 429.402: Definitions 429.403: Eligible Members 429.404: Provider Eligibility 429.405: In-state Providers: Certification 429.406: In-state Providers: Reporting Requirements 429.407: In-state Providers: Revocation of Certification 429.408: In-state Providers: Maximum Allowable Fees 429.409: Out-of-state Providers: Maximum Allowable Fees 429.410: Nonreimbursable Services 429.411: Referrals 429.412: Early and Periodic Screening, Diagnosis and Treatment (EPSDT) Services 429.421: Scope of Services 429.422: Staff Composition Requirements 429.423: Position Specifications and Qualifications 429.424: Qualifications of Professional Staff Authorized to Render Billable Mental Health Center Services by Core Discipline 429.431: Operating Procedures 429.432: Treatment Planning and Case Review 429.433: Coordination of Medical Care 429.434: Schedule of Operations 429.435: Utilization Review Plan 429.436: Recordkeeping Requirements 429.437: Written Policies and Procedures 429.438: Administration 429.439: Satellite Programs 429.440: Outreach Programs 429.441: Service Limitations 429.442: Child and Adolescent Needs and Strengths (CANS) Data Reporting

429.401: Introduction

130 CMR 429.000 establishes requirements for participation of mental health centers in MassHealth and governs mental health centers operated by freestanding clinics, satellite facilities of clinics, and identifiable units of clinics. All mental health centers participating in MassHealth must comply with the MassHealth regulations, including but not limited to 130 CMR 429.000 and 450.000: Administrative and Billing Regulations.

429.402: Definitions

The following terms used in 130 CMR 429.000 have the meanings given in 130 CMR 429.402 unless the context clearly requires a different meaning.

After-hours Telephone Service — telephone coverage during the hours when the center is closed for members who are in a crisis state.

Autonomous Satellite Program — a mental health center program operated by a satellite facility with sufficient staff and services to substantially assume its own clinical management independent of the parent center.

Case Consultation — environmental intervention for medical management purposes on a psychiatric patient's behalf with agencies, employers, or institutions which may include the preparation of reports of the patient's psychiatric status, history, treatment, or progress (other than for legal purposes) for other physicians, agencies, or insurance carriers.

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Child and Adolescent Needs and Strengths (CANS) — a tool that provides a standardized way to organize information gathered during behavioral-health clinical assessments. A Massachusetts version of the tool has been developed and is intended to be used as a treatment decision support tool for behavioral-health providers serving MassHealth members under the age of 21.

Core Discipline — one of the following disciplines: psychiatry, social work, psychology, or psychiatric nursing (including a psychiatric nurse mental health clinical specialist), most or all of which are represented by the professionals qualified in these disciplines who comprise a mental health center's core team.

Core Team — a group of three or more mental-health professionals that must include a psychiatrist and one each of at least two of the following professionals: a licensed psychologist, independently licensed clinical social worker, psychiatric nurse mental health clinical specialist, or psychiatric nurse. The members of this group collaborate in developing a diagnostic evaluation and treatment plan for the patient, utilizing their particular skills, competencies, and perspectives.

Couple Therapy —psychotherapeutic services provided to a couple whose primary complaint is the disruption of their marriage, family, or relationship.

Dependent Satellite Program — a mental health center program in a satellite facility that is under the direct clinical management of the parent center.

Diagnostic Services — the examination and determination of a patient's physical, psychological, social, economic, educational, and vocational assets and disabilities for the purpose of designing a treatment plan.

Family Consultation — a scheduled meeting of at least one-half hour with one or more of the parents, legal guardian, or foster parents of a child who is being treated by clinical staff at the center, when the parents, legal guardian, or foster parents are not clients of the center.

Family Therapy — the psychotherapeutic treatment of more than one member of a family simultaneously in the same session.

Freestanding Clinic — any institution licensed as a clinic by the Massachusetts Department of Public Health pursuant to M.G.L. c. 111, § 51, that is not part of a hospital and that possesses its own legal identity, maintains its own patient records, and administers its own budget and personnel. Such institutions include mental health centers and community health centers.

Group Therapy — the application of psychotherapeutic or counseling techniques to a group of persons, most of whom are not related by blood, marriage, or legal guardianship.

Home Visits — crisis intervention, individual, group, or family therapy, and medication provided in the residence (excluding a medical institution) of a current member, when the member is unable to be served on the center's premises.

Identifiable Unit — a separate organizational unit that is located in a separate part of a clinic, and that is identifiable in its fiscal, personnel, and program elements.

Individual Therapy — psychotherapeutic services provided to an individual.

Long-term Therapy — a combination of diagnostics and individual, couple, family, and group therapy planned to extend more than 12 sessions.

Medication Visit — a member visit specifically for the prescription, review, and monitoring of psychotropic medication by a psychiatrist, or psychiatric nurse mental health clinical specialist, or administration of prescribed intramuscular medication by a physician or a nurse.

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Mental Health Center (Center) — an entity that delivers a comprehensive group of diagnostic and psychotherapeutic treatment services to mentally or emotionally disturbed persons and their families by an interdisciplinary team under the medical direction of a psychiatrist.

Mental Illness — mental and emotional disorders as defined in the current International Classification of Diseases, Clinical Modification or the American Psychiatric Association's Diagnostic and Statistical Manual, and manifested by impaired functioning in behavior, feeling, thinking, or judgment to the extent that the affected person, or someone else, can observe that the person affected is unable to fulfill reasonable personal and social expectations.

Multiple-family Group Therapy — the treatment of more than one family unit at the same time in the same session, by one or more authorized staff members. There is more than one family member present per family unit and at least one of the family members per family unit must be an identified patient of the clinic program.

Outreach Program — a mental health center program located off the premises of the mental health center that: (1) is located in the same Department of Mental Health area as the mental health center or in a contiguous area; (2) is open to patients no more than 20 hours per week; and (3) on a regular basis offers no more than 40 staff hours per week of mental health services.

Parent Center — the central location of the mental health center, at which most of the administrative, organizational, and clinical services are performed.

Professional Staff Member Authorized to Render Billable Mental Health Center Services — a person trained in the discipline of psychiatry, clinical or counseling psychology, psychiatric social work, psychiatric nursing (includes a psychiatric nurse mental health clinical specialist), counseling, or occupational therapy as described in 130 CMR 429.424.

Psychological Testing — the use of standardized test instruments to evaluate aspects of an individual's functioning, including aptitudes, educational achievements, cognitive processes, emotional conflicts, and type and degree of psychopathology, subject to the limitations of 130 CMR 429.441(F).

Psychotherapy in Crisis — an urgent assessment and history of a crisis state, a mental status exam, and a disposition. The treatment includes psychotherapy, mobilization of resources to defuse the crisis and restore safety, and implementation of psychotherapeutic interventions to minimize the potential for psychological trauma.

Satellite Facility — a mental health center program at a different location from the parent center that operates under the license of and falls under the fiscal, administrative, and personnel management of the parent center and that meets the following criteria. (1) It is open to patients more than 20 hours a week. (2) It offers more than 40 person hours a week of services to patients.

Short-term Therapy — a combination of diagnostics and individual, couple, family, and group therapy planned to terminate within 12 sessions.

Supervised Clinical Experience — experience in providing diagnostic and treatment services in an organized mental health setting to individuals, families, and groups of individuals under the direct and continuing supervision of a professional qualified in psychiatry, clinical or counseling psychology, psychiatric social work, or psychiatric nursing (includes psychiatric nurse mental health clinical specialist).

429.403: Eligible Members

(A) (1) MassHealth Members. MassHealth covers mental health center services only when provided to eligible MassHealth members, subject to the restrictions and limitations described in the MassHealth agency's regulations. 130 CMR 450.105: Coverage Types specifically states, for each MassHealth coverage type, which services are covered and which members are eligible to receive those services.

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(2) Members of the Emergency Aid to the Elderly, Disabled and Children Program. For information on covered services for members of the Emergency Aid to the Elderly, Disabled and Children Program, see 130 CMR 450.106: Emergency Aid to the Elderly, Disabled and Children Program.

(B) For information on verifying member eligibility and coverage type, see 130 CMR 450.107: Eligible Members and the MassHealth Card.

(C) For limitations on mental health and substance abuse services provided to members enrolled with a MassHealth managed care provider, see 130 CMR 450.124: Behavioral Health Services.

429.404: Provider Eligibility

(A) In-state. Payment for the services described in 130 CMR 429.000 will be made only to mental health centers participating in MassHealth on the date of service. A center operated by a freestanding clinic, a satellite facility of a clinic, or an identifiable unit of a clinic, is eligible to participate only if the center is licensed by the Massachusetts Department of Public Health, is a Medicare-participating provider, and is certified by the MassHealth agency for the provision of mental health services at that location. However, the MassHealth agency may waive the clinic-licensure requirement for community health centers operated by local health departments that are thus exempt from licensure by the Massachusetts Department of Public Health under M.G.L. c. 111, § 52, and that the MassHealth agency has certified as performing community health center services.

(B) Out-of-state. To participate in MassHealth, an out-of-state mental health center must obtain a MassHealth provider number and meet the following criteria: (1) if the center is required by its own state's law to be licensed, the center must be licensed by the appropriate state agency under whose jurisdiction it operates; (2) the center must participate in its own state's medical assistance program or its equivalent; (3) the center must be a Medicare-participating provider; and (4) the center must have a rate of reimbursement established by the appropriate rate setting regulatory body of its state.

429.405: In-state Providers: Certification

(A) A center operated by a freestanding clinic, or an identifiable unit of a clinic, must meet the requirements listed in 130 CMR 429.421 through 429.441 in order to be certified by the MassHealth agency. A center operated by a satellite facility of a freestanding clinic must meet all the requirements for certification as well as the additional requirements outlined in 130 CMR 429.439, except for a dependent satellite program that is exempt from full compliance with 130 CMR 429.421, subject to the conditions set forth in 130 CMR 429.439(D).

(B) A separate application for certification as a mental health center must be submitted for each parent center and satellite facility operated by the applicant. The application must be made on the form provided by the MassHealth agency and must be submitted to the MassHealth agency's Mental Health Center Program. The MassHealth agency may request additional information from the applicant to evaluate the center's compliance with 130 CMR 429.000.

(C) Based on the information revealed in the certification application and the findings of a site inspection, the MassHealth agency will determine whether the applicant is certifiable or not. The MassHealth agency will notify the applicant of the determination in writing within 60 days after the date of the site visit. If the MassHealth agency determines that the applicant is not certifiable, the notice will contain a statement of the reasons for that determination, recommendations for corrective action, and an assessment of the applicant's prospects for certification, so that the applicant may reapply for certification once corrective action has been taken.

(D) The certification is valid only for the center described in the application and is not transferable to other centers operated at other locations by the applicant. Any additional center established by the applicant at a satellite facility must obtain separate certification from the MassHealth agency in order to receive payment.

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429.406: In-state Providers: Reporting Requirements

(A) All mental health centers must complete an annual report on forms furnished by the MassHealth agency and file them with the MassHealth agency within 90 days after the close of the MassHealth agency's fiscal year. The report must include the current staffing pattern, indicate any revisions or changes in written policies and procedures, describe the role of the psychiatrist, and provide any other information that the MassHealth agency may request.

(B) The MassHealth agency may conduct a site visit to verify compliance with 130 CMR 429.000. If deficiencies are observed during such a site visit, the MassHealth agency will send the center a letter itemizing these deficiencies. The center must then submit a plan of correction for all deficiencies cited in the letter, including the specific corrective steps to be taken, a timetable for these steps, and the date by which full compliance will be achieved, which must be no later than three months after the date of the MassHealth agency's letter. The MassHealth agency will accept the plan of correction only if it conforms to these requirements.

(C) All centers must submit promptly to the MassHealth agency the name and resume of any new clinical director or administrator. (See 130 CMR 429.423.)

(D) All centers must comply with all reporting requirements established under regulations of the Executive Office of Health and Human Services (EOHHS).

429.407: In-state Providers: Revocation of Certification

(A) The MassHealth agency has the right to review a mental health center's continued compliance with the conditions for certification referred to in 130 CMR 429.405 and the reporting requirements in 130 CMR 429.406 upon reasonable notice and at any reasonable time during the center's hours of operation. The MassHealth agency has the right to revoke the certification, subject to any applicable provisions of 130 CMR 450.000: Administrative and Billing Regulations, if such review reveals that the center has failed to or ceased to meet such conditions.

(B) If the MassHealth agency determines that there exists good cause for the imposition of a lesser sanction than revocation of certification, it may withhold payment, temporarily suspend the center from participation in MassHealth, or impose some other lesser sanction as the MassHealth agency sees fit.

429.408: In-state Providers: Maximum Allowable Fees

(A) The MassHealth agency pays for mental health center services with rates set by EOHHS, subject to the conditions, exclusions, and limitations set forth in 130 CMR 429.000. EOHHS fees for mental health center services are contained in 101 CMR 306.00: Rates of Payment for Mental Health Services Provided by Community Health Centers and Mental Health Centers.

(B) In the event that the center has a sliding-scale charge structure, the maximum published charges will be considered the center’s usual charge to the general public, provided the following conditions are met: (1) the center's full charges must be published in a fee schedule; (2) the center's revenues must be based on the application of full charges with allowances noted for reduction of fees; (3) the center's procedure for reduction of fees must be in accordance with written policies; and (4) the center must maintain sufficient information to document the amount of the reductions.

(C) Administrative Operations. Payment by the MassHealth agency for a mental health service includes payment for administrative operations and for all aspects of service delivery not explicitly included in 130 CMR 429.000, such as, but not limited to: (1) patient registration; (2) telephone contacts with members or other parties; (3) supervision or consultation with another staff member; (4) information and referral; and (5) recordkeeping.

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429.409: Out-of-state Providers: Maximum Allowable Fees

Payment to a mental health center located out-of-state is in accordance with the applicable rate schedule of its state's medical assistance program or its equivalent and is always subject to the applicable conditions, exclusions, and limitations set forth in 130 CMR 429.000.

429.410: Nonreimbursable Services

(A) Nonmedical Services. The MassHealth agency does not pay mental health centers for nonmedical services. These services include, but are not limited to, the following: (1) vocational rehabilitation services; (2) sheltered workshops (a program of vocational counseling and training in which participants receive paid work experience or other supervised employment); (3) educational services; (4) recreational services (play therapy, the use of play activities with a child in an identified treatment setting as an alternative to strictly verbal expression of conflicts and feelings, is not considered a recreational service and is reimbursable); (5) street worker services (information, referral, and advocacy to certain age populations; liaison with other agencies; role modeling; and community organization); and (6) life-enrichment services (ego-enhancing services such as workshops or educational courses provided to functioning persons).

(B) Nonmedical Programs. The MassHealth agency does not pay for diagnostic and treatment services that are provided as an integral part of a planned and comprehensive program that is organized to provide primarily nonmedical or other nonreimbursable services. Such programs include residential programs, day activity programs, drop-in centers, and educational programs.

(C) Research and Experimental Treatment. The MassHealth agency does not pay for research or experimental treatment.

(D) Referrals. A provider to whom a member is referred must bill the MassHealth agency directly, not through the mental health center. (See 130 CMR 429.411.)

429.411: Referrals

(A) All services provided by referral must be based on written agreements between the mental health center and the provider to whom a member is referred that ensure continuity of care, exchange of relevant health information, such as test results and records, and avoidance of service duplication. This agreement must also contain follow-up provisions to ensure that the referral process is completed successfully.

(B) The provider to whom a member is referred must bill the MassHealth agency directly for all such referral services, not through the mental health center. In order to receive payment for referral services, the referral provider must be a participating provider in MassHealth on the date of service.

429.412: Early and Periodic Screening, Diagnosis and Treatment (EPSDT) Services

The MassHealth agency pays for all medically necessary mental health center services for EPSDT-eligible members in accordance with 130 CMR 450.140: Early and Periodic Screening, Diagnosis and Treatment (EPSDT) Services: Introduction, without regard to service limitations described in 130 CMR 429.000, and with prior authorization.

429.421: Scope of Services

(A) Requirements. (1) A mental health center must have services available to treat a wide range of mental and emotional disorders, and it must provide comprehensive diagnostic assessments for a wide range of problems. In certain rare circumstances, the MassHealth agency may waive the requirement that the center directly provide one or more of these services if the center has a written referral agreement with another source of care to provide such services, and makes such referrals according to the provisions of 130 CMR 429.411.

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(2) All services must be clinically determined to be medically necessary and appropriate, and must be delivered by qualified staff in accordance with 130 CMR 429.424, and as part of the treatment plan in accordance with 130 CMR 429.432. These services are provided in intermittent sessions that ordinarily last less than two hours and are available on a walk-in or an appointment basis. Except for diagnostic and crisis intervention/emergency services, mental health centers must deliver all services to members with a psychiatric diagnosis and who function at a sufficient level to benefit from treatment.

(B) Diagnostic and Treatment Services. A center must have the capacity to provide at least the following diagnostic and treatment services, as defined in 130 CMR 429.402: (1) diagnostic services; (2) psychological testing; (3) long-term therapy; (4) short-term therapy; (5) individual therapy; (6) couple therapy; (7) family therapy; (8) group therapy; (9) medication visit; (10) case consultation; Case consultation must consist of a scheduled meeting between the clinical staff at the mental health center and other providers of treatment concerning a member who is a center's client. Other providers of treatment are professional staff, who are not employed by the mental health center, but who are actively providing care or treatment for the member, including professional staff providing services on behalf of an employer. The purpose of case consultation must include at least one of the following: 1. identifying and planning for additional services; 2. coordinating a treatment plan with other providers involved in the member's care; 3. reviewing the member's progress; or 4. revising the treatment plan as required. (11) family consultation; (12) psychotherapy in crisis intervention/emergency services; (13) after-hours telephone service. The telephone service must provide arrangements for effectively responding to the crisis. (A tape-recorded telephone message instructing patients to call a hospital emergency room is not acceptable.) Acceptable arrangements include (a) professional staff members available to talk to clients over the telephone and, if indicated, to arrange for further care and assistance directly or through referral; or (b) an after-hours live telephone service and a referral arrangement with a local hospital emergency department or other emergency service, established through a written agreement that sets forth the policy, personnel, referral, coordination, and other procedural commitments as set forth in 130 CMR 429.411; and (14) home visits.

429.422: Staff Composition Requirements

(A) The mental health center must have a balanced interdisciplinary staffing plan that includes three or more core professional staff members who meet the qualifications outlined in 130 CMR 429.424 for their respective professions. Of these, one must be a psychiatrist, and two must be from separate nonphysician core disciplines, including psychology, social work, or psychiatric nursing. Certain additional staffing requirements are contained in 130 CMR 429.423.

(B) The staff must have specific training and experience to treat the target populations of the center. For example, staff treating children are required to have specialized training and experience in children's services. As further described in 130 CMR 429.424, staff who provide individual, group, family therapy, and multiple family group therapy to members under the age of 21 must be certified every two years to administer the Child and Adolescent Needs and Strengths (CANS), according to the process established by the Executive Office of Health and Human Services (EOHHS).

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(C) For clinic-licensed mental health centers, the staff composition requirements are contained in 130 CMR 429.422 and 429.423. Clinic-licensed mental health centers must employ the equivalent of at least three full-time professional staff members, two of whom must be core team members who meet qualifications outlined in 130 CMR 429.423 for their respective disciplines. When a clinic-licensed mental health center has ten employees or fewer, the core team must work a minimum of 20 hours a week.

(D) Dependent satellite programs must employ at least two full-time equivalent professional staff members from separate nonphysician core disciplines. The Director of Clinical Services at the parent center must ensure that supervision requirements of 130 CMR 429.438(E) are performed. If the satellite program's staff do not meet the qualifications for core disciplines as outlined in 130 CMR 429.424, they must receive supervision from qualified core staff professionals of the same discipline at the parent center.

(E) For clinic-licensed community health centers, the center must employ at least two half-time professional staff members from separate, nonphysician core disciplines who meet the qualifications outlined in 130 CMR 429.424 for their respective disciplines.

(F) Autonomous satellite programs, as defined in 130 CMR 429.402, must meet the requirement’s specified in 130 CMR 429.422(C).

429.423: Position Specifications and Qualifications

(A) Administrator. The mental health center must designate one individual as administrator, who is responsible for the overall operation and management of the center and for ensuring compliance with MassHealth regulations. The administrator must have previous training or experience in personnel, fiscal, and data management, as described in 130 CMR 429.438. (1) The same individual may serve as both the administrator and clinical director. (2) In a community health center, the administrator of the entire facility may also administer the mental health center program.

(B) Director of Clinical Services. Mental health centers must designate a professional staff member to be the clinical director who is then responsible to the administrator for the direction and control of all professional staff members and services. (1) The clinical director must be licensed, certified, or registered to practice in one of the core disciplines listed in 130 CMR 429.424, and must have had at least five years of full-time, supervised clinical experience subsequent to obtaining a master's degree, two years of which must have been in an administrative capacity. The clinical director must be employed on a full-time basis. When the clinic is licensed as a community health center, the clinical director must work at the center at least half-time. (2) The specific responsibilities of the clinical director include (a) selection of clinical staff and maintenance of a complete staffing schedule; (b) establishment of job descriptions and assignment of staff; (c) overall supervision of staff performance; (d) accountability for adequacy and appropriateness of patient care; (e) in conjunction with the medical director, accountability for employing adequate psychiatric staff to meet the psychopharmalogical needs of clients; (f) establishment of policies and procedures for patient care; (g) program evaluation; (h) provision of some direct patient care in circumstances where the clinical director is one of the three minimum full-time equivalent staff members of the center; (i) development of in-service training for professional staff; and (j) establishment of a quality management program.

(C) Medical Director. The mental health center must designate a psychiatrist who meets the qualifications outlined in 130 CMR 429.424(A) as the medical director, who is then responsible for establishing all medical policies and protocols and for supervising all medical services provided by the staff. The medical director must work at the center a minimum of eight hours a week. When the clinic is licensed as a community health center, the medical director must work at the center at least four hours a week.

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(D) Psychiatrist. (1) The roles and duties of administrator, director of clinical services, and medical director, as detailed in 130 CMR 429.423(A) through (C), may be assumed, all or in part, by a psychiatrist on the center's staff, provided that provision of services to members and performance of all relevant duties in these regulations are carried out to meet professionally recognized standards of health care, as required by 130 CMR 450.000: Administrative and Billing Regulations. (2) The role of the psychiatrist in the center, apart from any duties that may be assumed under 130 CMR 429.423(A), (B), or (C), must include the following: (a) responsibility for the evaluation of the physiological, neurological, and psychopharmacological status of the center's clients; (b) involvement in diagnostic formulations and development of treatment plans; (c) direct psychotherapy, when indicated; (d) participation in utilization review or quality-assurance activity; (e) coordination of the center's relationship with hospitals and provision of general hospital consultations as required; (f) supervision of and consultation to other disciplines; and (g) clinical coverage on an "on call" basis at all hours of center operation.

429.424: Qualifications of Professional Staff Members Authorized to Render Billable Mental Health Center Services by Core Discipline

(A) Psychiatrist. (1) At least one staff psychiatrist must either currently be certified by the American Board of Psychiatry and Neurology, or be eligible and applying for such certification. (2) Any additional psychiatrists must be, at the minimum, licensed physicians in their second year of a psychiatric residency program accredited by the Council on Medical Education of the American Medical Association. Such physicians must be under the direct supervision of a fully qualified psychiatrist. (3) Any psychiatrist or psychiatric resident who provides individual, group, or family therapy to members under the age of 21 must be certified every two years to administer the CANS, according to the process established by the Executive Office of Health and Human Services (EOHHS).

(B) Psychologist. (1) At least one staff psychologist must be licensed by the Massachusetts Board of Registration of Psychologists with a specialization listed in clinical or counseling psychology or a closely related specialty. (2) Additional psychological associates staff members trained in the field of clinical or counseling psychology or a closely related specialty must (a) have a minimum of a master's degree or the equivalent graduate study in clinical or counseling psychology or a closely related specialty from an accredited educational institution; (b) be currently enrolled in or have completed a doctoral program in clinical or counseling psychology or a closely related specialty; and (c) have had two years of full-time supervised clinical experience subsequent to obtaining a master's degree in a multidisciplinary mental-health setting. (One year of supervised clinical work in an organized graduate internship program may be substituted for each year of experience.) All services provided by such additional staff members must be under the direct and continuing supervision of a psychologist meeting the requirements set forth in 130 CMR 429.424(B)(1). (3) Any psychologist who provides individual, group, or family therapy to members under the age of 21 must be certified every two years to administer the CANS, according to the process established by the Executive Office of Health and Human Services (EOHHS).

(C) Social Worker. (1) At least one staff social worker must have received a master's degree in social work from an accredited educational institution and must have had at least two years of full-time supervised clinical experience subsequent to obtaining a master's degree. This social worker must also be licensed or have applied for and have a license pending as an independent clinical social worker by the Massachusetts Board of Registration of Social Workers.

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(2) Any additional social workers on the staff must provide services under the direct and continuous supervision of an independent clinical social worker. Such additional social workers must be licensed or applying for licensure as certified social workers by the Massachusetts Board of Registration of Social Workers and have received a master's degree in social work and completed two years of full-time supervised clinical work in an organized graduate internship program. (3) Any social worker who provides individual, group, or family therapy to members under the age of 21 must be certified every two years to administer the CANS, according to the process established by the Executive Office of Health and Human Services (EOHHS).

(D) Psychiatric Nurse. (1) At least one psychiatric nurse must be currently registered by the Massachusetts Board of Registration in Nursing and must have a master's degree in nursing from an accredited National League of Nursing graduate school with two years of full-time supervised clinical experience in a multidisciplinary mental-health setting and be eligible for certification as a clinical specialist in psychiatric/mental-health nursing by the American Nursing Association. (2) Any other nurses must be currently registered by the Massachusetts Board of Registration in Nursing and must have a bachelor's degree from an educational institution accredited by the National League of Nursing and two years of full-time supervised skilled experience in a multidisciplinary mental-health setting subsequent to that degree, or a master's degree in psychiatric nursing.

(E) Psychiatric Nurse Mental Health Clinical Specialist. A psychiatric nurse mental health clinical specialist is a licensed registered nurse who is authorized by the Board of Registration in Nursing as practicing in an expanded role and who meets the requirements of 244 CMR 4.13(3): Psychiatric Nurse Mental Health Clinical Specialist. A psychiatric nurse mental health clinical specialist can perform prescribing duties within their scope of practice.

(F) Counselor. (1) All counselors and unlicensed staff included in the center must be under the direct and continuous supervision of a fully qualified professional staff member trained in one of the core disciplines described in 130 CMR 429.424(A) through (D). (2) All counselors must hold a master's degree in counseling education, counseling psychology, or rehabilitation counseling from an accredited educational institution and must have had two years of full-time supervised clinical experience in a multidisciplinary mental- health setting subsequent to obtaining the master's degree. (One year of supervised clinical work in an organized graduate internship program may be substituted for each year of full-time experience.) (3) Any counselor who provides individual, group, or family therapy to members under the age of 21 must be certified every two years to administer the CANS, according to the process established by the Executive Office of Health and Human Services (EOHHS).

(G) Occupational Therapist. (1) Any occupational therapist must be currently registered by the American Occupational Therapy Association and must have (a) a master's degree in occupational therapy from an accredited program in occupational therapy; or (b) a bachelor's degree in occupational therapy from an accredited program in occupational therapy and a master's degree in a related field such as psychology, social work, or counseling. (2) In addition, any occupational therapist must have at least two years of full-time supervised clinical experience subsequent to obtaining a master's degree. (One year of supervised clinical work in an organized graduate internship program may be substituted for each year of full-time experience.)

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429.431: Operating Procedures

(A) A professional staff member authorized to render billable mental health center services as described in 130 CMR 429.424, must conduct a comprehensive evaluation of each member prior to initiation of therapy. For members under the age of 21, a CANS must be completed during the initial behavioral-health assessment before the initiation of therapy and be updated at least every 90 days thereafter by a CANS-certified provider, as described in 130 CMR 429.424.

(B) The center must accept a member for treatment, refer the member for treatment elsewhere, or both, if the intake evaluation substantiates a mental or emotional disorder.

(C) One professional staff member must assume primary responsibility for each member (the primary therapist).

(D) The center program must make provisions for responding to persons needing services on a walk-in basis.

(E) The center must take appropriate steps to facilitate uninterrupted and coordinated member care whenever it refers a member elsewhere for treatment not available at the center or for subsequent treatment.

(F) Before referring a member elsewhere, the center must, with the member's consent, send a summary of or the actual record of the member to that referral provider prior to initiation of therapy.

429.432: Treatment Planning and Case Review

A multidisciplinary team composed of mental health professionals, in accordance with 105 CMR 140.530: Staffing, must conduct treatment planning, assessments, and case review for each member as follows.

(A) The multidisciplinary team must conduct case review according to 105 CMR 140.540: Case Review; must prepare a treatment plan that complies with 105 CMR 140.520(C): Personnel Qualifications; and must establish criteria for determining when termination of treatment is appropriate.

(B) For members under the age of 21, the multidisciplinary team must ensure that the CANS has been completed at the initial behavioral-health assessment and is updated at least every 90 days thereafter.

(C) The multidisciplinary team must review each case at termination of treatment and prepare a termination summary that describes the course of treatment and the aftercare program or resources in which the member is expected to participate.

429.433: Coordination of Medical Care

A mental health center must coordinate psychotherapeutic treatment with medical care for MassHealth members. If a member has not received a physical exam within six months of the date of intake, the mental health center must advise the member that one is needed. If the member does not have an existing relationship with a physician, the mental health center must assist the member in contacting the MassHealth agency’s customer service toll-free line to receive help in selecting a physician. If the member does not want a physical examination, the member’s record must document the member’s preference and any stated reason for that preference.

429.434: Schedule of Operations

(A) There must be at least one location where a freestanding mental health center operates a program that is open at least 40 hours a week.

(B) A mental health center operated by a clinic-licensed community health center must be open at least 20 hours a week.

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429.434: continued

(C) When the center is closed, telephone coverage must be provided by personnel offering referral to operating emergency facilities, on-call clinicians, or other mechanisms for effectively responding to a crisis, in accordance with the requirements set forth at 130 CMR 429.421(B)(13).

429.435: Utilization Review Plan

The mental health center must have a utilization review plan that meets the following conditions.

(A) A utilization review committee must be formed, composed of the clinical director (or his or her designee) and two other professional staff members who meet all the qualifications for their discipline, as outlined in 130 CMR 429.424.

(B) The utilization review committee must review each of the center's cases in accordance with 105 CMR 140.540: Case Review and following the member's termination.

(C) The utilization review committee must verify for each case that: (1) the diagnosis has been adequately documented; (2) the treatment plan is appropriate and specifies the methods and duration of the projected treatment program; (3) the treatment plan is being or has been carried out; (4) the treatment plan is being or has been modified as indicated by the member's changing status; (5) there is adequate follow-up when a member misses appointments or drops out of treatment; (6) there is progress toward achievement of short- and long-term goals; and (7) for members under the age of 21, the CANS has been completed at the initial behavioral-health assessment and updated at least every 90 days thereafter.

(D) No staff member can participate in the utilization review committee's deliberations about any member he or she is treating directly.

(E) The mental health center must maintain minutes that are sufficiently detailed to show the decisions of each review and the basis on which any decisions are made so that the MassHealth agency may conduct such audits as it deems necessary.

(F) Based on the utilization review, the director of clinical services or his or her designee must determine whether continuation, modification, or termination of treatment is necessary and promptly communicate this decision to the primary therapist.

429.436: Recordkeeping Requirements

(A) A mental health center must maintain on its premises either the original record or a microfilm of the original record for each member for a period of at least four years following the date of service. When a member is transferred from a mental health center that is a component of a community health center to an independent agency affiliated with the community health center, the mental health center itself must retain a copy of the member's record if it forwards the record to the affiliated agency.

(B) The center must obtain written authorization from each member or his or her legal guardian to release information obtained by the center to center staff, federal and state regulatory agencies, and, when applicable, referral providers, to the extent necessary to carry out the purposes of the center program and to meet regulatory requirements. All such information must be released on a confidential basis.

(C) Each member's record must include the following information: (1) the member's name and case number, MassHealth identification number, address, telephone number, sex, age, date of birth, marital status, next of kin, school or employment status (or both), and date of initial contact;

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429.436: continued

(2) a report of a physical examination performed within six months of the date of intake or documentation that the member did not want to be examined and any stated reason for that preference; (3) the name and address of the member's primary care physician or, if not available, another physician who has treated the member; (4) the member's description of the problem, and any additional information from other sources, including the referral source, if any; (5) the events precipitating contact with the center; (6) the relevant medical, psychosocial, educational, and vocational history; (7) a comprehensive functional assessment of the member at intake and semi-annually thereafter; (8) the clinical impression of the member and a diagnostic formulation, including a specific diagnosis using standard nomenclature; (9) a listing of realistic long-range goals, and a time frame for their achievement; (10) a listing of short-term objectives, which must be established in such a way as to lead toward accomplishment of the long-range goals; (11) the proposed schedule of therapeutic activities, both in and out of the center, necessary to achieve such goals and objectives and the responsibilities of each individual member of the interdisciplinary team; (12) a schedule of dates for utilization review to determine the member's progress in accomplishing goals and objectives; (13) the name, qualifications, and discipline of the therapist primarily responsible for the member; (14) a written record of quarterly reviews by the primary therapist, which relate to the short- and long-range goals; (15) progress notes on each visit written and signed by the primary therapist that include the therapist's discipline and degree, as well as notes by other professional staff members significantly involved in the treatment plan; (16) all information and correspondence regarding the member, including appropriately signed and dated consent forms; (17) a medication-use profile; (18) when the member is discharged, a discharge summary, including a recapitulation of the member's treatment and recommendations for appropriate services concerning follow-up as well as a brief summary of the member's condition and functional performance on discharge; and (19) for members under the age of 21, a CANS completed during the initial behavioral- health assessment and updated at least every 90 days thereafter.

(D) A brief history is acceptable for emergency or walk-in visits when the treatment plan does not call for extended care.

429.437: Written Policies and Procedures

A mental health center must have and observe written policies and procedures that include

(A) a statement of its philosophy and objectives;

(B) criteria for client admission;

(C) a statement of the geographical area served;

(D) an intake policy;

(E) treatment procedures, including, but not limited to, development of the treatment plan, case assignment, case review, discharge-planning, and follow-up on clients who leave the program without notice;

(F) a medication policy that includes prescription, administration, and monitoring data;

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429.437: continued

(G) a referral policy, including procedures for ensuring uninterrupted and coordinated client care upon transfer;

(H) procedures for walk-in clients and clinical emergencies during operating and nonoperating hours;

(I) a records policy, including what information must be included in each record, and procedures to ensure confidentiality;

(J) supervisory mechanisms for staff;

(K) a utilization review plan; and

(L) explicit fee policies with respect to billing third-party payers and clients, cancellation procedures, and fee reductions.

429.438: Administration

The mental health center must be organized to facilitate effective decision-making by appropriate personnel on administrative, programmatic, and clinical issues.

(A) Organization. The center must establish an organization table showing major operating programs of the facility, with staff divisions, administrative personnel in charge of each program, and their lines of authority, responsibility, and communication.

(B) Fiscal Management. The center must establish a system of business management to ensure accurate accounting for sources and uses of funds and proper expenditure of funds within established budgetary constraints and grant restrictions.

(C) Data Management. The center must develop and maintain a statistical information system to collect client, service utilization, and fiscal data necessary for the effective operation of the center.

(D) Personnel Management. The center must establish and maintain personnel policies and personnel records for each employee.

(E) Supervision. (1) Each staff member must receive supervision appropriate to the person's skills and level of professional development. Supervision must occur within the context of a formalized relationship providing for frequent and regularly scheduled personal contact with the supervisor. Frequency and extent of supervision must conform to the licensing standards of each discipline's Board of Registration, as cited in 130 CMR 429.424. (2) The center must establish and implement procedures for staff training and evaluation. These procedures must require all staff who must be certified to administer the CANS, as described in 130 CMR 429.424, to complete the certification process established by the Executive Office of Health and Human Services (EOHHS).

429.439: Satellite Programs

Services provided by a satellite program are reimbursable only if the program meets the standards described below.

(A) A satellite program must be integrated with the parent center in the following ways. (1) The administrator of the parent center is responsible for ensuring compliance of the satellite program with 130 CMR 429.000. (2) There must be clear lines of supervision and communication between personnel of the parent center and its satellite programs. The parent center must maintain close liaison with its satellite programs through conferences or other methods of communication.

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429.439: continued

(3) The satellite program must be subject to all the written policies and procedures of the parent center governing the types of services that the satellite program offers. (4) The satellite program must maintain on its own premises its client records as set forth in 130 CMR 429.436.

(B) An autonomous satellite program must provide supervision and in-service training to all noncore staff employed at the satellite program.

(C) The director of clinical services of the parent center must designate one professional staff member at the satellite program as the satellite's clinical director. The clinical director must be employed on a full-time basis and meet all of the requirements in 130 CMR 429.423(B). (1) The supervisor of the satellite program must report regularly to the clinical director of the parent center to ensure ongoing communication and coordination of services. (2) In an autonomous satellite program, the supervisor must meet the qualifications required of a core staff member in his or her discipline, as set forth in 130 CMR 429.424. (3) In a dependent satellite program, the supervisor must meet the basic qualifications required for his or her discipline, as set forth in 130 CMR 429.424, and receive regular supervision and consultation from qualified core staff at the parent center.

(D) If a dependent satellite program does not offer the entire range of services available at the parent center, the dependent satellite program must refer clients to the parent center or a facility that offers such services. The parent center must determine the necessity for treatment and the appropriateness of the treatment plan for such clients and institute a clear mechanism through which this responsibility is discharged, by consultation with the satellite program team, regular supervision of the satellite program by supervisory-level professional core staff in the parent center, or by other appropriate means. For staff composition requirements pertaining to dependent satellite programs, see 130 CMR 429.422(D).

429.440: Outreach Programs

An outreach program operated by a mental health center is eligible for payment if it meets the standards described in 130 CMR 429.440(A) through (G).

(A) Outreach program staff members must receive supervision and in-service training in accordance with the requirements specified in 130 CMR 429.438(E).

(B) The director of clinical services must meet at least on a monthly basis with outreach program staff members and have direct contact with outreach program clients as necessary to provide medical diagnosis, evaluation, and treatment in accordance with the requirements outlined in 130 CMR 429.423(B).

(C) Outreach programs must maintain the records of their clients on the premises of the parent center.

(D) Outreach programs must be subject to all written policies and procedures of the parent center governing the kinds of services that the outreach program offers.

(E) Outreach programs must meet the requirements of 130 CMR 429.439(D) applicable to dependent satellite programs.

(F) Outreach program services must conform to the definition in 130 CMR 429.402.

(G) Services provided at outreach programs are subject to the requirements in 130 CMR 429.431, 429.432, and 429.435.

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429.441: Service Limitations

(A) Diagnostic and Treatment Services. The MassHealth agency pays for diagnostic and treatment services only when a professional staff member, as defined by 130 CMR 429.424, personally provides these services to the member or the member's family, or personally consults with a professional outside of the center. The services must be provided to the member on an individual basis, and are not reimbursable if they are an aspect of service delivery, as defined in 130 CMR 429.408(C).

(B) Multiple Sessions on a Same Date of Service. The MassHealth agency pays for only one session of a single type of service (except for diagnostics) provided to an individual member on one date of service. Return visits on the same date of service are not reimbursable.

(C) Case Consultation. (1) The MassHealth agency pays only for a case consultation that involves a personal meeting with a professional of another agency. (2) The MassHealth agency pays for case consultation only when telephone contact, written communication, and other nonreimbursable forms of communication clearly will not suffice. Such circumstances must be documented in the member's record. Such circumstances are limited to situations in which both the center and the other party are actively involved in treatment or management programs with the member (or family members) and where a lack of face to face communication would impede a coordinated treatment program. (3) The MassHealth agency does not pay a center for court testimony.

(D) Family Consultation. The MassHealth agency pays for consultation with the natural or foster parent or legal guardian of a member less than 21 years of age who lives with the child and is responsible for the child's care, and who is not an eligible member, when such consultation is integral to the treatment of the member.

(E) Group Therapy. (1) Payment is limited to one fee per group member with a maximum of 10 members per group regardless of the number of staff members present. (2) The MassHealth agency does not pay for group therapy when it is performed as an integral part of a psychiatric day treatment program.

(F) Psychological Testing. The MassHealth agency pays a center for psychological testing only when the following conditions are met. (1) A psychologist who meets the qualifications listed in 130 CMR 429.424(B) either personally administers the testing or personally supervises such testing during its administration by an unlicensed psychologist. (2) A battery of tests is performed. These tests must meet the following standards: (a) the tests are published, valid, and in general use, as evidenced by their review in the current edition of the Mental Measurement Yearbook or by their conformity to the Standards for Educational and Psychological Tests of the American Psychological Association; (b) unless clinically contraindicated due to hearing, physical, or visual impairment or linguistic challenges, a personality evaluation contains the findings of at least two of the following test types or their age-appropriate equivalents: Rorschach, TAT (Thematic Apperception Test), TED (Tasks of Emotional Development), or MMPI (Minnesota Multiphasic Personality Inventory), and one or more of the following test types: figure drawing, Bender Gestalt, or word association; (c) unless clinically contraindicated due to hearing, physical, or visual impairment or linguistic challenges, intelligence testing includes either a full Wechsler or Stanford- Binet instrument; and (d) unless clinically contraindicated due to hearing, physical, or visual impairment or linguistic challenges, assessment of brain damage must contain at least the findings of a Wechsler Intelligence Scale and tests of recent memory, visual-space perception, and other functions commonly associated with brain damage. (3) The MassHealth agency does not pay for (a) self-rating forms and other paper-and-pencil instruments, unless administered as part of a comprehensive battery of tests;

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429.441: continued

(b) group forms of intelligence tests; or (c) a repetition of any psychological test or tests provided by the mental health center or any independent psychologist to the same member within the preceding six months, unless accompanied by documentation demonstrating that the purpose of the repeated testing is to ascertain the following types of changes (submission of such documentation with the claim for payment is sufficient when the psychological test or tests are to be performed on the same member a second time within a six-month period): 1. following such special forms of treatment or intervention as electroshock therapy or psychiatric hospitalization (periodic testing to measure the member's response to psychotherapy is not reimbursable); or 2. relating to suicidal, homicidal, toxic, traumatic, or neurological conditions. (4) Testing of a member requested by responsible parties, such as but not limited to physicians, clinics, hospitals, schools, courts, group homes, or state agencies, must be documented in the member's record. Such documentation must include the referral source and the reason for the referral.

(G) Home Visits. (1) The MassHealth agency pays for intermittent home visits. (2) Home visits are reimbursable on the same basis as comparable services provided at the center. Travel time to and from the member's home is not a reimbursable service. (3) A report of the home visit must be entered into the member's record.

(H) Multiple Therapies. The MassHealth agency pays for more than one mode of therapy used for a member during one week only if clinically justified; that is, when any single approach has been shown to be necessary but insufficient. The need for additional modes of treatment must be documented in the member's record.

(I) Psychotherapy in Crisis Services. The MassHealth agency pays for psychotherapy in crisis as defined in 130 CMR 429.402. (1) This service is limited to face-to-face contacts with the member; psychotherapy in crisis service via telephone contact is not a reimbursable service. (2) The need for psychotherapy in crisis services must be fully documented in the member's record for each date of psychotherapy in crisis services.

(J) Outreach Services Provided in Nursing Facilities. (1) The MassHealth agency pays a center for diagnostic and treatment services provided to a member residing in a nursing facility under the following circumstances and conditions: (a) the nursing facility specifically requests treatment, and the member's record at the nursing facility documents this request; (b) the treatment provided does not duplicate services that should be provided in the nursing facility; and (c) such services are generally available through the center to members not residing in that nursing facility. (2) The following conditions must be met: (a) the member's record at the parent center must contain all of the information listed in 130 CMR 429.436; (b) the member's record at the nursing facility must contain information pertaining to diagnostic and treatment services including, but not limited to, medication, treatment plan, progress notes on services, case review, and utilization review; and (c) the member must function at a sufficient level to benefit from treatment as established by a clinical evaluation and by accepted standards of practice.

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429.442: Child and Adolescent Needs and Strengths (CANS) Data Reporting

For each Child and Adolescent Needs and Strengths (CANS) conducted, the mental health center must report data collected during the assessment to the MassHealth agency, in the manner and format specified by the MassHealth agency.

REGULATORY AUTHORITY

130 CMR 429.000: M.G.L. c. 118E, §§ 7 and 12.

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THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 205 CMR 125.00

CHAPTER TITLE: Surrounding Communities

AGENCY: Massachusetts Gaming Commission

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. The regulations set forth the arbitration procedure between gaming applicants and surrounding communities.

REGULATORY AUTHORITY: G.L. c.23K, s.5

AGENCY CONTACT: Danielle Holmes PHONE: 617-979-8411

ADDRESS: 84 State St., Boston MA 02109

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 adopted as an emergency because the arbitration process starts today, March 21, 2014.

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.

PUBLIC REVIEW - M.G.L. c. 30A sections 2 and/or 3 requires notice of the hearing or comment period, including a small business impact statement, 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:

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 93 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:

For the first five years:

No fiscal effect:

SMALL BUSINESS IMPACT - M.G.L. c. 30A section 5 requires each agency to file an amended small business impact statement with the Secretary of the Commonwealth prior to the adoption of a proposed regulation. If the purpose of this regulation is to set rates for the state, this section does not apply.

Date amended small business impact statement was filed:

CODE OF MASSACHUSETTS REGULATIONS INDEX - List key subjects that are relevant to this regulation: Gaming, casino, Massachusetts Gaming Commission, arbitration.

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: Amend 205 CMR 125.01(6)(c)

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: Mar 21 2014

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1258 DATE: 04/11/2014

EFFECTIVE DATE: 03/21/2014

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: This is an emergency There are no replacement regulation. pages.

03/21/2014 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 94 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 205 CMR: MASSACHUSETTS GAMING COMMISSION

125.01: continued

(5) Limited Surrounding Community Definition to Encourage Community Disbursements. To encourage applicants to make funds available to communities to evaluate potential impacts and to potentially negotiate a surrounding community agreement prior to the submission of an RFA-2 application and prior to the commission's final designation of the surrounding communities of a proposed gaming establishment pursuant to 205 CMR 125.01(2), an applicant's execution of a letter of authorization pursuant to 205 CMR 114.03 shall not be considered evidence that the community receiving disbursements is or should be designated as a surrounding community pursuant to 205 CMR 125.01(2); rather, the applicant's execution of a letter of authorization and the community's receipt of funds pursuant to 205 CMR 114.03: Community Disbursements shall designate the community as a surrounding community only for the limited purposes of providing funding to pay for the cost of determining the impacts of a proposed gaming establishment and for potentially negotiating a surrounding community agreement.

(6) Negotiation of a Surrounding Community Agreement after the Applicant has Submitted an RFA-2 Application. (a) Participation in Process. In accordance with M.G.L. c. 23K, § 17(a), 205 CMR 125.01(6) provides the procedure for reaching a fair and reasonable surrounding community agreement between the applicant and the surrounding community. Upon being designated a surrounding community by the commission in accordance with 205 CMR 125.01(1)(a) or 125.01(2) the community and the applicant shall be bound by this procedure. 1. In the event the applicant shall fail or refuse to participate in the arbitration process set forth in 205 CMR 125.01(6)(c) with any community determined to be a surrounding community under 205 CMR 125.01(1)(a) or (2), the commission may deny the applicant's RFA-2 application for a Category 1 or Category 2 license or condition the issuance of the license on mitigation terms with respect to the proposed surrounding community that the commission determines are appropriate. 2. In the event a community designated a surrounding community fails or refuses to participate in the arbitration process set forth in 205 CMR 125.01(6)(c), the commission may deem the community to have waived its designation as a surrounding community. Provided, however, the commission may nevertheless impose as a condition on any a Category 1 or 2 license a community impact fee and any requirements it deems appropriate requirements for mitigation of impacts from the development or operation of a licensed gaming establishment. 3. An applicant or surrounding community may petition the commission for a finding that the other party has failed or refused to participate in the arbitration process set forth in 205 CMR 125.01(6)(c) and may request a remedy in accordance with 205 CMR 125.01(6)(a)1. or 2. (b) Negotiated Agreement. Pursuant to M.G.L. c. 23K, § 17(a), the applicant shall negotiate a signed agreement with a community within 30 days from the surrounding community determination by the commission in accordance with 205 CMR 125.01(1)(a) or (2). In the event that the applicant and surrounding community cannot reach an agreement within the 30 day period they shall commence the binding arbitration procedure outlined in 205 CMR 125.01(6)(c). The parties may, however, engage in binding arbitration in accordance with 205 CMR 125.01(6)(c) at any time during that 30 day period. (c) Binding Arbitration Procedure. 1. The applicant and surrounding community may, by mutual agreement, engage in this binding arbitration procedure at any time after the date the surrounding community determination is made by the commission in accordance with 205 CMR 125.01(1)(a) or 125.01(2). Provided, however, the parties must engage in this binding arbitration procedure if no surrounding community agreement is filed with the commission within 30 days of the date the surrounding community designation is made by the commission in accordance with 205 CMR 125.01(1)(a) or (2). 2. The parties shall file with the commission a notice of intent to commence arbitration prior to selecting an arbitrator.

6/7/13 205 CMR - 387 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 205 CMR: MASSACHUSETTS GAMING COMMISSION

125.01: continued

3. No later than five days after the passage of 30 days since the surrounding community designation is made by the commission in accordance with 205 125.01(1)(a) or 125.01(2) the parties shall select a neutral, independent arbitrator and submit their best and final offer for a surrounding community agreement pursuant to M.G.L. c. 23K, § 15(9) to the arbitrator and to the other party. The best and final offer shall be in the form of an executable surrounding community agreement. If they cannot mutually select such single arbitrator, each party shall select one neutral, independent arbitrator who shall then mutually choose a third neutral, independent arbitrator. In the event that a third neutral, independent arbitrator is not selected within the five day period, the commission or its designee shall select the third neutral, independent arbitrator. The three arbitrators shall preside over the matter and resolve all issues, including the final decision, by majority vote. 4. In conjunction with the filing of its best and final offer submitted in accordance with 205 CMR 125.01(6)(c)3., the applicant shall submit a copy of the surrounding community agreements it has executed with other surrounding communities concerning the applicant's proposed gaming establishment. Either party may submit executed surrounding community agreements from other proposed gaming establishments in the commonwealth which the party considers relevant. 5. The reasonable fees and expenses of the single arbitrator shall be paid by the applicant. In the event that three arbitrators are engaged, two thirds of the reasonable fees and expenses shall be paid by the applicant and one third shall be paid by the surrounding community. 6. Within five days of the filing of its best and final offer submitted in accordance with 205 CMR 125.01(6)(c)3. if a party (the "objecting party") believes that the best and final offer submitted by the other party contains a term or terms that are fundamentally inconsistent with a provision or with the purposes of M.G.L. c. 23K, the objecting party shall file with the commission and contemporaneously serve on the other party a petition that includes the best and final offer submitted by each party, a list of all of the terms that the objecting party believes are fundamentally inconsistent with a provision or with the purposes of M.G.L. c. 23K , the reason that the objecting party believes such terms are fundamentally inconsistent with a provision or with the purposes of M.G.L. c. 23K, any evidence supporting the objecting party's position , and a request that if the other party's best and final offer is selected by the arbitrator the commission hold a hearing to review whether the term or terms listed by the objecting party are fundamentally inconsistent with a provision or with the purposes of M.G.L. c. 23K. Upon receipt of the petition, the commission shall schedule a hearing at a public meeting to be held no later than three days after the arbitrator issues its report pursuant to 205 CMR 125.01(6)(c)7. If a petition is filed with the commission pursuant to 205 CMR 125.01(6)(c)6., both parties shall contemporaneously file with the commission a copy of all documents filed with the arbitrator during the arbitration. 7. Within 20 days after receipt of the parties' submissions under 205 CMR 125.01(6)(c)3., the arbitrator(s) shall conduct any necessary proceedings and file with the commission, and issue to the parties, a report specifying the terms of the surrounding community agreement between the applicant and the community. In reaching its decision, the arbitrator(s) shall select the best and final offer of one of the parties and incorporate those terms into the report. 8. If neither party requested a hearing pursuant to 205 CMR 125.01(6)(c)6., then no later than five days after the issuance of the report of the arbitrator(s) as provided in 205 CMR 125.01(6)(c)6., the parties shall sign a surrounding community agreement and file it with the commission in accordance with M.G.L. c. 23K, § 15(9) and 205 CMR 125.01(3) or the arbitrator's report shall be deemed to be the surrounding community agreement between the parties If a hearing has been requested pursuant to 205 CMR 125.01(6)(c)6., the decision of the arbitrator shall become final in accordance with the provisions of 205 CMR 125.01(6)(c)11. 9. In accordance with 205 CMR 125.01(6)(c)6., the commission shall hold a public hearing on the objecting party's petition. At the hearing the commission shall review the submissions of each party and take testimony from the parties in the commission's discretion. At the conclusion of the public hearing the commission may:

4/11/14 (Effective 3/21/14) 388 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. 205 CMR: MASSACHUSETTS GAMING COMMISSION

125.01: continued

a. determine that the terms of the best and final offer selected by the arbitrator are consistent with M.G.L. c. 23K and that the arbitrator's decision shall be the surrounding community agreement between the parties; or b. determine that the best and final offer selected by the arbitrator contains a terms or terms that are fundamentally inconsistent with a provision or with the purposes of M.G.L. c. 23K 10. If the commission determines that the best and final offer selected by the arbitrator contains a term or terms that are fundamentally inconsistent with a provision or with the purposes of M.G.L. c. 23K, the commission shall modify, cause to be modified or remove the terms that are fundamentally inconsistent with a provision or with the purposes of M.G.L. c. 23K. No later than five days after the commission's decision the parties shall sign the surrounding community agreement and file it with the commission in accordance with M.G.L. c. 23K, § 15(9) and 205 CMR 125.01(3) or the arbitrator's report, as modified by the commission, shall be deemed to be the surrounding community agreement between the parties. 11. The arbitrator's decision shall be deemed final once the commission makes its determination pursuant to 205 CMR 125.01(6)(c)9. or 10. 12. In the absence of an objection filed in accordance with 205 CMR 125.01(6)(c)6., the decision of the arbitrator shall be final and binding and shall not be subject to further review. If an objection has been filed in accordance with 205 CMR 125.01(6)(c)6., the decision of the arbitrator shall become final in accordance with 205 CMR 125.01(6)(c)11. and shall not be entitled to further review.

REGULATORY AUTHORITY

205 CMR 125.00: M.G.L. c. 23K, §§ 4(37), 5 and 17.

4/11/14 (Effective 3/21/14) 388.1 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. 205 CMR: MASSACHUSETTS GAMING COMMISSION

NON-TEXT PAGE

4/11/14 (Effective 3/21/14) 388.2 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 # 158

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 430 CMR 5.00

CHAPTER TITLE: Employer Requirement Series

AGENCY: Division of Unemployment Assistance

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. The regulation changes the due date of employer contributions for the first quarter of 2014 only. The immediate amendment of 430 C.M.R. 5.03(4) is necessary for the preservation of the general welfare to promote the timely payment of eligible claims for unemployment and the adequate funding of the unemployment insurance trust fund.

REGULATORY AUTHORITY: M.G.L. c. 23, sec. 1; M.G.L. 30A, sec. 2

AGENCY CONTACT: David A. Guberman, Chief Counsel PHONE: 617-626-5600

ADDRESS: 19 Staniford Street, 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. The immediate amendment of 430 C.M.R. 5.03(4) is necessary for the preservation of the general welfare to promote the timely payment of eligible claims for unemployment and the adequate funding of the unemployment insurance trust fund.

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. State Advisory Council 3/20/2014 Administration and Finance 3/26/2014

PUBLIC REVIEW - M.G.L. c. 30A sections 2 and/or 3 requires notice of the hearing or comment period, including a small business impact statement, 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: N/A

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 95 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:

For the first five years:

No fiscal effect: X

SMALL BUSINESS IMPACT - M.G.L. c. 30A section 5 requires each agency to file an amended small business impact statement with the Secretary of the Commonwealth prior to the adoption of a proposed regulation. If the purpose of this regulation is to set rates for the state, this section does not apply.

Date amended small business impact statement was filed:

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

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 430 CMR 5.03

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: Mar 27 2014

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1258 DATE: 04/11/2014

EFFECTIVE DATE: 03/27/2014

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: This is an emergency There are no replacement regulation. pages.

03/27/2014 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 96 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 430 CMR: DIVISION OF UNEMPLOYMENT ASSISTANCE

5.02: continued

A timely return by a most recent employing unit or other person of a notice of claim filed with a statement merely questioning the claimant’s eligibility under the provisions of M.G.L. c. 151A, § 24(b) shall nevertheless bar such employing unit or other person from being a party to further proceedings relating to the allowance of the claim unless such statement so furnished is supported by factual information. All such returns by an employing unit shall be verified by a written declaration that they are made under the pains and penalties of perjury.

(9) Employers or their legal representatives shall report to the Department immediately any change in name, address, ownership or form of organization.

(10) Whenever a transfer of business occurs under the provisions of M.G.L. c. 151A, notice of such transfer shall be reported to the Commissioner in writing at once by both the transferring employer and the employer to which the transfer was made. Failure on the part of any successor to give notice within 120 days of the date of transfer shall bar the taking over by such successor of the account of any transferring employer having a plus balance, unless it is determined by the Commissioner that the successor had good cause for failing to give such notice within such time. Examples of good cause for failure to file timely notice include the following: (a) A Department of Employment and Training employee directly discouraged or provided misinformation to the successor resulting in the successor not giving timely notice of transfer. (b) Any other circumstances beyond the successor's control which prevented the giving of timely notice of transfer. In no event shall good cause be considered if the successor fails to give such notice within 180 days of the date of transfer.

(11) Whenever a worker, who at the time has been employed for at least one week, is separated from his work (permanently or for an indefinite period, or for an expected duration of seven or more days) under any conditions, the employer, at the time of such separation, shall deliver to such worker a form furnished or approved by the Department of Employment and Training which shall contain the employer's name and the address to which requests for wages would be sent and the employer's identification number assigned by the Department of Employment and Training.

(12) Reporting Requirements General. For the purposes of M.G.L. c. 151A, § (14)(i), an employer newly subject to M.G.L. c. 151A is one which was never previously subject to M.G.L. c. 151A or, if previously subject, ceased to be subject under the provisions of M.G.L. c. 151A, § (11) and, in either case, is not a transferee within the meaning of M.G.L. c. 151A, § (11)(n) and is not newly subject under the provisions of M.G.L. c. 151A, § (8)(d), (g) or (h).

5.03: Contribution Reports

(1) No employer shall be permitted to make contributions, excepting on the basis of wages paid.

(2) The employer's contributions accrue at the time the wages are actually or constructively paid by the employer. (a) Wages are constructively paid when they are credited to the account of or set apart for the employee so that they may be drawn upon by him at any time although not then actually reduced to possession. To constitute payment in such a case the wages must be credited or set apart to the employee without any substantial limitation or restriction as to the time or manner of payment or condition upon which payment is to be made; must be made available to him so they may be drawn at any time; and their payment must be brought within his own disposition. (b) Wages, earned from an insolvent employer, due but unpaid shall be deemed to have been paid when earned for the purpose of establishing an individual's benefit rights.

(3) Each employer who is determined to be liable for contributions, shall be liable on so much of his payroll as is subject to M.G.L. c. 151A, § 14 or 14C. Liability for contributions is on wages paid by an employer in each calendar year to any individual performing service for him that is subject in Massachusetts. This is without regard to: (a) Any earnings which he may have had in employment not subject under M.G.L. c. 151A. (b) Any employment which the individual may have had with another employer in the same calendar year whether or not subject in Massachusetts.

6/11/10 430 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. 430 CMR: DIVISION OF UNEMPLOYMENT ASSISTANCE

5.03: continued

(4) Contributions on wages paid by an employer shall be due and payable on the last day of the first month succeeding the quarter in which such wages were paid, except that such contributions for the first quarter of calendar year 2014 shall be due and payable on May 30, 2014. (a) Beginning with the quarter ending December 31, 2007, employers who file quarterly unemployment insurance contribution reports which report a total quarterly payroll of $50,000 or more shall file such reports using a form and means of electronic transmittal prescribed by the Commissioner. (b) Beginning with the quarter ending December 31, 2007, employers who file quarterly unemployment health insurance contribution reports which report a total quarterly payroll of $50,000 or more shall file such reports using a form and means of electronic transmittal prescribed by the Commissioner. (c) Any employer that becomes subject to the provisions of 430 CMR 5.03(4)(a) or (b) remains subject to such provisions even if the total quarterly payroll it reports drops below the threshold specified in 430 CMR 5.03(4)(a) and (b). (d) Beginning with the quarter ending December 31, 2008, all employers who file quarterly unemployment insurance contribution reports shall file such reports using a form and means of electronic transmittal prescribed by the Commissioner. (e) Beginning with the quarter ending December 31, 2008, all employers who file quarterly unemployment health insurance contribution reports shall file such reports using a form and means of electronic transmittal prescribed by the Commissioner. (f) The Commissioner may assess a penalty as set forth in M.G.L. c. 151A, § 15(a) or M.G.L. c. 151A, § 14G(g), whichever is applicable, against employers who are required to file quarterly unemployment insurance contribution reports and employers who are required to file quarterly unemployment health insurance contribution reports using electronic transmittal as prescribed by the Commissioner and who file but fail to use such electronic transmittal.

(5) The due date for the filing of reports and the payment of contributions for the quarters which have elapsed because of any retroactive effect of M.G.L. c. 151A on a subject determination of an employer shall be the last day of the first month succeeding the month in which the fact occurred making the employing unit subject. The due date for reports for each subsequent quarter shall be the last day of the first month succeeding the date on which the quarter ended.

(6) Whenever any individual or type of organization engaging the service of another believes the relationship of employer and employee does not exist, he or it shall file with the Commissioner a statement of relevant facts for determination. The individual performing the service shall be deemed an employee until and unless the Commissioner determines otherwise.

(7) If a part of the service performed by an individual in the employ of an employing unit during a pay period constitutes employment, that part shall be deemed to be in included services notwithstanding that the remainder does not constitute employment. If part of the service is in employment and part is not in employment as defined but such parts cannot be separated, the whole of such service shall be deemed to be in employment.

(8) While an employer is subject to the law, and until his liability for filing contribution reports has been suspended by the Department, such reports shall be submitted by such employer, even though no wages were paid, for each quarter during which he is subject to the law.

(9) The prescribed employer quarterly contribution form will be regularly furnished each employer by the Department without application therefor insofar as possible. Employers not supplied with the proper form shall make application therefor to the Department in ample time to have their reports prepared, verified, and filed with the Department on or before the due date.

(10) Any employing unit which would otherwise be subject to M.G.L. c. 151A because of the provisions of 430 CMR 5.02(2)(b) shall be exempt from M.G.L. c. 151A until its payroll for services performed in Massachusetts is in excess of $200.00 in a quarter.

(11) For the purposes of M.G.L. c. 151A the term "agricultural labor" as used in section 6(a), except as otherwise provided in M.G.L. c. 151A, §§ 4A(d) and (e) shall have the meaning assigned to such term by subsection (g) of section 3121 of the Internal Revenue Code of 1954.

4/11/14 (Effective 3/27/14) 36 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 # 280

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 961 CMR 2.00

CHAPTER TITLE: Rules and Regulations

AGENCY: State Lottery Commission

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. To amend the regulations for the Lucky For Life game

REGULATORY AUTHORITY: Chapter 10, Sections 24 and 24A; Chapter 30A, Section 3

AGENCY CONTACT: MSLC General Counsel William J. Egan, Jr. PHONE: 781-849-5515

ADDRESS: 60 Columbian Street, Braintree, MA 02184

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

EMERGENCY ADOPTION - if this regulation is adopted as an emergency, state the nature of the emergency. Amend regulations to correct a technical error in recent game change.

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.

PUBLIC REVIEW - M.G.L. c. 30A sections 2 and/or 3 requires notice of the hearing or comment period, including a small business impact statement, 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: April 16, 2014

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 97 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: Not available

For the first five years: Not available

No fiscal effect: Not available

SMALL BUSINESS IMPACT - M.G.L. c. 30A section 5 requires each agency to file an amended small business impact statement with the Secretary of the Commonwealth prior to the adoption of a proposed regulation. If the purpose of this regulation is to set rates for the state, this section does not apply.

Date amended small business impact statement was filed:

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: Amend 961 CMR 2.64

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: Mar 19 2014

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1258 DATE: 04/11/2014

EFFECTIVE DATE: 03/20/2014

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: This is an emergency There are no replacement regulation. pages.

03/20/2014 cm

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 98 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 961 CMR: STATE LOTTERY COMMISSION

2.64: Semi-weekly Multi-state Game – LUCKY FOR LIFE

(1) Effective Date. Beginning March 20, 2014, the following shall be in effect.

(2) Definitions. The following definitions apply unless the context requires a different meaning or is otherwise inconsistent with the intention of 961 CMR 2.64 adopted by the Lucky for Life Regional Agreement.

Advance Action or Multi Draw shall mean the type of betting in which wagers may be placed for future Lucky for Life drawings as available in each Party Lottery.

Agreement shall mean the Lucky for Life Regional Game Agreement.

Annuitized Payment Option shall mean a manner in which the Lucky for Life Top Prize or second prize may be paid in equal payments or installments. The Annuitized Payment Option shall be calculated on an annual basis. The schedule of payments shall be at the discretion of each Party Lottery.

Cash Option shall mean the manner in which the Lucky for Life Top Prize or second prize (also referred to as Prize Level #2) may be paid upon the winner's request in one single cash payment as an alternative to the Annuitized Payment Option.

Claimant or Winner shall mean any natural person or legal entity submitting a winning Lucky for Life Game Ticket within the required prize claim period. A Claimant may be the purchaser, the natural person or legal entity named on the back of a signed Lucky for Life Game Ticket, the bearer of an unsigned Lucky for Life Game Ticket, or any other natural person or legal entity who may seek entitlement to a Lucky for Life prize payment in accordance with each Party Lottery’s constitutional provisions, statutes, regulations and rules (herein after collectively referred to as “state laws”). No Claimant may assert rights different from the rights acquired by the original purchaser at the time of purchase.

Drawing shall mean the formal process of selecting winning numbers which conclusively determines the number of winners for each prize level of the game.

Expired Unclaimed Prize Fund shall mean the value of the prizes which remain unclaimed after the prize claim period expires.

Game Play(s) shall mean that area of the play slip, also known as a “board” or “panel”, which contains two sets of numbered squares to be marked by the player: the first set (Matrix 1) contains 43 squares, numbered one through 43; the second set (Matrix 2) contains 43 squares, numbered one through 43.

Game Ticket or Ticket shall mean an acceptable evidence of game play which represents a wager accepted by the On-line Gaming System of a Party Lottery meeting the specifications defined in these Official Game Rules.

Liability Limit shall mean a pre-established threshold, as determined in advance by the Lucky for Life Directors. The prize liability is determined by multiplying the total number of winning Game Tickets by the set payout amount(s). If the prize liability exceeds the maximum liability limit, as defined in 961 CMR 2.64(5)(a), the set prize amount shall be split equally among the number of winning Game Tickets at that prize level. The top three prize levels of the Lucky for Life game (Prize Level #1, Prize Level #2, Prize Level #3) have liability limits associated with the number of winners and set prize payouts.

Lucky Ball shall mean the number selected from the second set of numbers (Matrix 2) in each Lucky for Life drawing.

Lucky for Life Authorized Claim Center shall mean a Party Lottery’s Sales Retailer, High-tier Claim Center or Headquarters where a winning Lucky for Life Game Ticket can be validated or cashed.

4/11/14 (Effective 3/20/14) 36.25 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. 961 CMR: STATE LOTTERY COMMISSION

2.64: continued

Lucky for Life Sales Retailer, Sales Retailer or Sales Agent shall mean a natural person or legal entity licensed by the Party Lottery to sell and redeem Lucky for Life lottery Game Tickets.

Lucky for Life Clearinghouse Lottery or Clearinghouse Lottery shall refer to the Party Lottery or other duly authorized entity whose responsibility it will be to collect and transfer prize payouts on behalf of the Party Lotteries.

Lucky for Life Directors or Directors shall mean the governing body of the Lucky for Life game which is comprised of the Executive Director, Director or Chief Executive Officer or his or her designee from each participating Party Lottery.

Lucky for Life Lead Director or Lead Director shall refer to the Party Lottery Director appointed by the Directors by majority vote for a period not to exceed one fiscal year. The Lead Director shall have certain administrative duties, as designated by the Directors. The Lead Director shall also have primary responsibility for negotiating and managing policy decisions of the Directors but shall have no independent power or authority over any other Party Lottery Director.

Lucky for Life Finance and Operations Committee, Finance and Operations Committee or other committee designated by the Directors shall mean the committee established by the Directors to oversee matters of finance and operations including, but not limited to, transfer and collection of funds, establishment of operating expenses, investment of prize reserves and acquisition of annuities for the operation and administration of the Lucky for Life game.

Lump Sum Cash shall mean a manner in which the Lucky For Life Top prize or second prize is required to be paid in one single cash payment when the liability limit is exceeded and no Annuitized Payment Option is available, as detailed in 961 CMR 2.64(5).

On-line Lottery Game or Draw Game shall mean a lottery game for which wagers are accepted by the On-line Gaming System of a Party Lottery.

On-line Gaming System shall mean the computer wagering system of each Party Lottery for the purpose of issuing and validating Lucky for Life Game Tickets

Party Lottery shall mean a state lottery which is authorized to sell the Lucky for Life game.

Play, Bet or Wager shall mean the six numbers (the first five from a field of 43 numbers and one Lucky Ball number from a field of 43 numbers) that appear on a Game Ticket as a single-lettered play, board or panel, and are played by a player in the game.

Play Slip, Selection Slip or Bet Slip shall mean a card used in marking a player’s game plays or wagers.

Player or Purchaser shall mean a natural person(s) or legal entity who buys Lucky for Life Game Tickets in accordance with 961 CMR 2.64 and state laws.

Prize Fund or Prize Fund Percentage shall mean the portion of Lucky for Life sales set aside for the payment of prizes.

Quick Pick, Quic Pic, Computer Pick or Easy Pick shall mean the random selection of six numbers resulting in a wager accepted by the On-line Gaming System of a Party Lottery.

Selling Lottery shall mean the Party Lottery which sold a winning Lucky for Life Game Ticket.

Set Prize shall mean a pre-determined prize payout which is paid in a single cash payment. Set prizes shall apply to the lowest eight prize levels. They may also apply, however, to the Top Prize and second prize under certain conditions established in 961 CMR 2.64(5)(a).

4/11/14 (Effective 3/20/14) 36.26 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. 961 CMR: STATE LOTTERY COMMISSION

2.64: continued

Split Prize shall mean a pre-determined set prize payout that is divided equally among the number of winning Game Tickets of the prize level. Split prizes shall only apply to the Top Prize, the Prize Level #2 and Prize Level #3 winners of the Lucky for Life game under certain conditions established in 961 CMR 2.64(5)(a).

Subscription Ticket or Season Ticket shall mean a ticket sold with an extended, multi-draw purchase option wherein the same set(s) of numbers may be played for a specified number of consecutive drawings. The subscription ticket shall be effective on a future date as prescribed by the governing laws, policies and rules of the Party Lottery offering the subscription option.

Terminal shall mean a device including, but not limited to Player Activated Terminals (PATs), Self-service Terminals (SSTs) and Ticket Vending Machines (TVMs), authorized to function in an on-line, interactive mode with the On-line Gaming System for the purpose of issuing and validating lottery transactions.

Top Prize or Grand Prize shall mean the first prize in the Lucky for Life game.

Winning Numbers shall mean the six numbers (the first five numbers from Matrix 1 and the one Lucky Ball number from Matrix 2) that are randomly selected at each drawing and used to determine the winning plays contained on a Lucky for Life Game Ticket.

(3) Drawing Procedures. The Directors shall establish the drawing procedures for the Lucky for Life game drawings, including a drawing problem resolution mechanism. All drawings shall be open to the public and shall be witnessed by an Independent Certified Public Accounting Firm. Any equipment used in a drawing shall be inspected at least annually and in the presence of an Independent Certified Public Accounting Firm. All drawings, including pre and post test drawings shall be recorded.

(4) Game Description and Characteristics. (a) Game Designation. For purposes of identification, the Lucky for Life game shall have a designated game number in the On-line Gaming System. (b) Game Design. The Lucky for Life game is a double matrix-style game, drawn each Monday and Thursday, in which players select five unique numbers in the Matrix 1 from one to 43 PLUS one Lucky Ball number in the Matrix 2 from one to 43. The additional number may be the same as one of the first five numbers selected by the player. (c) Game Purchases. Lucky for Life Game Tickets must be purchased from a terminal operated by a licensed Sales Retailer, a Player Activated Terminal (if available) by using a touch screen or by inserting a selection slip into the machine, a lottery subscription system (if available) or such other means as approved by the Party Lottery. (d) Ticket Format. Lucky for Life Game Tickets shall include, but not be limited to, the player’s number selections, game logo or game name, ticket cost, terminal number, barcode, quick pick (if selected), replay (if selected), serial number and drawing date. Advance Action tickets shall visibly show the beginning and ending draw dates. Lucky for Life Game Tickets may also include the selling date, time stamp and any information required by a Party Lottery’s state laws pertaining to the validation of Game Tickets. (e) Ticket Price. 1. Uniform Price. Each Lucky for Life Game Ticket shall be sold at retail for the price set by the Directors. 2. Taxes. The Game Ticket price set by the Directors shall include all the applicable taxes which a Party Lottery may be required to collect. 3. Cost Per Play. Lucky for Life Game Tickets may be purchased for $2.00 per play, or multiples thereof, in accordance with 961 CMR 2.64. The player receives one play for each $2.00 wagered. Each play contains six numbers (the first five from Matrix 1 containing 43 numbers and the last number from Matrix 2 containing 43 numbers). 4. Promotions shall mean marketing or advertising intended to increase sales of the Lucky for Life Game Tickets (excluding Subscription Tickets or Advance Action) through a discount or rebate. A Party Lottery may offer Lucky for Life Game Tickets through promotions without approval of the Directors, for a period not to exceed 90 days in any six-month period as long as advance notification of 30 days is provided to all Party Lotteries of the terms and dates of the promotional offering.

4/11/14 (Effective 3/20/14) 36.27 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. 961 CMR: STATE LOTTERY COMMISSION

2.64: continued

5. Tickets as Prizes. A Party Lottery may offer Lucky for Life Game Tickets as a prize in any other lottery game after advising all Party Lotteries of the terms and dates of such action. 6. Contribution to Prize Pool. The Party Lottery may offer Game Tickets as a prize or as part of an authorized promotion provided that all such Game Ticket sales are assessed and reported to the prize pool at the full gross sales amount. (f) Play Restrictions and Play Styles. 1. Ticket Sales to Minors Prohibited. Lucky for Life Game Tickets may not be sold to or purchased by minors younger than 18 years old. 2. Ticket Cashing by Minors. Subject to the state laws of each Party Lottery, Lucky for Life Game Tickets may not be cashed or redeemed by minors younger than 18 years old. 3. Ineligible Players. Lucky for Life Game Tickets shall not be purchased, and a prize won by any such Game Ticket or share, either in whole or in part, shall not be paid to: a. A Party Lottery employee, officer, director, board member or commissioner. b. A contractor or consultant under agreement with any Party Lottery to perform audit and security procedures. c. An employee of the independent certified public accounting firm under contract with any Party Lottery to oversee Lucky for Life drawings. d. An employee of the Party Lottery’s on-line vendor. e. An employee of the Party Lottery’s advertising or public relations provider. f. An employee of the Party Lottery’s instant ticket print vendors. g. An immediate family party (parent, stepparent, child, stepchild, spouse, sibling or person engaged in a domestic partnership or civil union) of an individual described in 961 CMR 2.64(4)(f)3.a. through f. residing as a member of the same household in the principle place of residence of any such person. h. Those persons designated in 961 CMR 2.64(4)(f) as ineligible to play the Lucky for Life game shall also be ineligible to play the Lucky for Life game in all other Party Lottery states selling the game. 4. Ticket Cancellations Prohibited. A Lucky for Life Game Ticket may not be cancelled or voided by returning the Game Ticket to the Sales Retailer or to the Lottery. A Lucky for Life Game Ticket accepted by the Sales Retailer as a returned ticket and which cannot be resold shall be deemed as owned by the bearer thereof. This prohibition also applies to a Lucky for Life Game Ticket that may be printed in error by the Sales Retailer. Subject to the state laws of each Party Lottery, no Lucky for Life Game Ticket, or physical portion thereof, which may be used to claim a prize, shall be returned to the Party Lottery for credit. 5. Game Sell-out Prohibited. The Party Lotteries shall not directly and knowingly sell a Game Ticket or combination of Game Tickets to any natural person or legal entity that would guarantee such purchaser a Top Prize or second prize win. 6. Claims. A Lucky for Life Game Ticket, subject to the validation requirements of the Party Lotteries as detailed in 961 CMR 2.64(5)(c), shall be the only proof of a game play (or plays) and the submission of a winning Game Ticket to the Party Lottery or its licensed Sales Retailer shall be the sole method of claiming a prize or prizes. A play slip has no pecuniary or prize value and shall not constitute evidence of Game Ticket purchase or of numbers selected. Under no circumstances will a claim be paid for a Top Prize or second prize without a winning Lucky for Life Game Ticket. Subject to the state laws of each Party Lottery, lost or missing Lucky for Life Game Tickets may not be honored or processed for payment or replacement. 7. Use of Play Slips. Players may submit a completed Lucky for Life play slip to any licensed Sales Retailer to have issued a Lucky for Life Game Ticket. Play slips shall be available at no cost to the Purchaser and shall have no pecuniary or prize value, or constitute evidence of purchase or number selections. The use of facsimiles of play slips, copies of play slips, or other materials that are inserted into the terminal’s play slip reader that are not printed or approved by the Party Lottery is not permitted. Sales Retailers shall not permit any device to be connected to a lottery terminal to enter plays, except as approved by the Party Lottery. 8. Manual Entry. Players may convey their number selections to any licensed Sales Retailer for a Lucky for Life Game Ticket. Such number selections shall be manually entered into the on-line terminal by the licensed Sales Retailer.

4/11/14 (Effective 3/20/14) 36.28 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. 961 CMR: STATE LOTTERY COMMISSION

2.64: continued

9. Quick Pick. Players may either request a Quick Pick Lucky for Life Game Ticket from a licensed Sales Retailer or may select the Quick Pick option on the play slip and submit the completed Lucky for Life play slip to any licensed Sales Retailer. Quick Pick shall be differentiated from Customer Select in that Quick Pick shall refer to the random selection of numbers made by the On-line Gaming System rather than by the Player. 10. Customer Select. Players may select their own numbers by completing a Lucky for Life play slip or by conveying their number selections directly to any licensed Sales Retailer. Customer Select shall be differentiated from Quick Pick in that Customer Select shall refer to number selections made by the Player rather than the On-line Gaming System. 11. Replay Feature. If available, players may utilize the barcodes of already-purchased Lucky for Life Game Tickets to duplicate another Game Ticket of the same price and with the same number selections and options. To replay, players may either make the request of a licensed Sales Retailer or may scan the barcode directly into a Player Activated or Self-service Terminal, if authorized. 12. Advance Action or Multi-draw. Lucky for Life Game Tickets may be purchased for future drawings, as available in each Party Lottery. 13. Subscriptions or Season Tickets. Lucky for Life Game Tickets may be purchased by subscription, if authorized by a Party Lottery. 14. Limited to Highest Prize Won. In connection with the winning numbers drawn, the holder of a winning Lucky for Life Game Ticket may win only one prize per play, board or panel, and shall be entitled only to the prize won by those numbers in the highest matching prize category. 15. Prize Claim Period. The prize claim period shall be determined by each Party Lottery. In Massachusetts, all prizes must be claimed within one year of the drawing date. 16. Player Responsibility. It shall be the sole responsibility of the player to verify the accuracy of the game play (or plays) and the other data printed on the Game Ticket. The placing of wagers is done at the player’s own risk through the Sales Retailer who is acting on behalf of the player in entering the play or plays. 17. Prize Payments. A Party Lottery may not pay prizes that are less than or more than the prize amounts established in accordance with 961 CMR 2.64. The prize won cannot be indirectly increased by promotions or retailer promotions which would have the effect of increasing the authorized Lucky for Life prize.

(5) Prize Liability Limits, Prize Payouts and Prize Levels. The Lucky for Life game is a set and split prize payout game with winning Game Tickets determined by matching five unique numbers from a field of 43 numbers (Matrix 1) PLUS one Lucky Ball number from a separate and distinct field of 43 numbers (Matrix 2). The additional number may be the same as one of the first five numbers selected by the player. The following paragraphs and chart define the prize liability limits, prize payouts, prize levels and pool percentages and chances of winning per prize level. (a) Prize Liability Limits. There are ten prize levels in the Lucky for Life game. 1. Except as provided in 961 CMR 2.64, the Top Prize (Prize Level #1) shall be annuitized and based on a Top Prize liability that will be split equally among the number of winning Game Tickets. A Top Prize winner may request the Cash Option, the amount of which is to be established by unanimous vote of the Directors for a defined period of drawings. Notice of the amount of and changes to the Cash Option shall be posted on the Lucky For Life website and/or published in each jurisdiction in a manner determined by its respective Party Lottery (herein after referred to as the "Published Notice") at least 30 days prior to the first drawing to which it is applicable. Under certain circumstances, as detailed in 961 CMR 2.64(5)(a)1.a. through e., the Top Prize is required to be paid in a single Lump Sum Cash payment and no Annuitized Payment Option is available. a. One Top Prize Winner. If there is one Top Prize winner, the annuitized prize value will be $7,000 per week for life. As an alternative to the Annuitized Payment Option, the Top Prize winner may request the Top Prize Cash Option in the amount set forth in the Published Notice.

4/11/14 (Effective 3/20/14) 36.29 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. 961 CMR: STATE LOTTERY COMMISSION

2.64: continued

b. Two to 14 Top Prize Winners. If there is more than one and less than or equal to 14 Top Prize winners, the Annuitized Payment Option, based on an annuitized prize value of $7,000 per week, will be divided by the total number of Top Prize winners. The minimum annuitized prize value for this category will be $500 a week for life. Any of these two to 14 Top Prize winners may choose the Cash Option as an alternative to the Annuitized Payment Option. The amount of the Cash Option for this category will be the amount of the Top Prize Cash Option set forth in the Published Notice divided by the number of Top Prize winners. The minimum Cash Option for this category will be the amount set forth in the Published Notice. c. 15 or more Top Prize Winners. If there are more than 14 Top Prize winners, the Top Prize liability shall be capped at $7,125,000 and shall be split equally among all Top Prize winners and paid in one Lump Sum Cash payment, without an Annuitized Payment Option. The minimum prize value for this category shall not be less than any lower tier prize paid in that respective drawing. d. The winner(s) of the Top Prize who do not request the Cash Option shall be paid their appropriate Top Prize share on a weekly basis, or according to such other schedule of payments set at the discretion of each Party Lottery for a minimum period of 20 years. The first Top Prize payment will be made when the prize is claimed at the Selling Lottery's Headquarters. e. Measuring Life. For a single wager, the measuring life of a Top Prize winner used to determine the duration over which the Top Prize is paid, shall be the natural life of the individual determined by the Selling Lottery to be a Top Prize winner. If the Top Prize under a single wager is being claimed by more than one natural person or by a legal entity the measuring life for a Top Prize winner shall be 20 years. f. If paid in a Lump Sum Cash payment, Top Prize amounts will be rounded to the nearest whole dollar. 2. Except as provided in 961 CMR 2.64, the second prize (Prize Level #2) winner will be paid $25,000 a year for life. A second prize winner may request the Cash Option, the amount of which is to be established by unanimous vote of the Directors for a defined period of drawings. Notice of the amount of and changes to the Cash Option shall be posted on the Lucky For Life website and/or published in each jurisdiction in a manner determined by its respective Party Lottery (herein after referred to as the "Published Notice") at least 30 days prior to the first drawing to which it is applicable. Under certain circumstances, as detailed in 961 CMR 2.64(5)(a)2.a. through e., the second prize is required to be paid in a single Lump Sum Cash payment. a. One to 20 Second Prize Winners. For one to 20 second prize winner(s), the annuitized prize value will be $25,000 per year for life. Any of these one to 20 second prize winner(s) may choose the second prize Cash Option as an alternative to the Annuitized Payment Option. The amount of the Cash Option for this category will be will be set forth in the Published Notice. b. 21 or more Second Prize Winners. If there are more than 20 second prize winners, the second prize liability shall be capped at $9,400,000 and shall be split equally among all second prize winners and paid in one Lump Sum Cash payment, without an Annuitized Payment Option. The minimum prize value for this category shall not be less than any lower tier prize paid in that respective drawing. c. The winner(s) of the second prize who do not request the Cash Option shall be paid their appropriate second prize share on an annual basis for a minimum period of 20 years. The initial second prize payment will be made when the prize is claimed at the Selling Lottery's Headquarters; subsequent second prize payments will be made annually thereafter. d. Measuring Life. For a single wager, the measuring life of a second prize winner used to determine the duration over which the second prize is paid, shall be the natural life of the individual determined by the Selling Lottery to be a second prize winner. If the second prize under a single wager is being claimed by more than one natural person or by a legal entity the measuring life for a second prize winner shall be 20 years. e. If paid in a Lump Sum Cash payment, second prize amounts will be rounded to the nearest whole dollar.

4/11/14 (Effective 3/20/14) 36.30 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. 961 CMR: STATE LOTTERY COMMISSION

2.64: continued

3. Except as provided in 961 CMR 2.64, the third prize (Prize Level #3) will be paid as a $3,000 set prize. If there are more than 1,000 winners of this prize level, the total prize liability of $3,000,000 ($3,000 x 1,000) will be split equally among the winners. Under no circumstances, however, will the third prize fall below a minimum prize value of $200 regardless of the number of winners. Third prizes will be rounded to the nearest whole dollar and paid in one lump sum payment. 4. The remaining prize levels (Prize Level #4 through Prize Level #10) will be paid as low-tier set prizes. Prizes will be rounded to the nearest whole dollar and paid in one single cash payment. (b) Entitlement to Prizes by Winners. The holder of a winning Lucky for Life Game Ticket shall be entitled only to the prize won by matching the winning numbers in the highest matching prize category. (c) Payment of Prizes. All winning Lucky for Life Game Tickets, including the Top Prize and second prize, shall be paid in accordance with 961 CMR 2.64 and state laws. Each Party Lottery shall withhold taxes and other required withholdings in accordance with applicable federal and state laws. To be a valid Game Ticket and eligible to receive a prize, a winning Lucky for Life Game Ticket shall satisfy all the requirements established for the validation of winning Game Tickets sold through each Party Lottery’s On-line Gaming System and any other requirements adopted by the Directors. The Party Lotteries shall not be responsible for Game Tickets which are altered in any manner. 1. Top Prize and Second Prize Payments. Unless a Cash Option, Lump Sum Cash payment, single cash payment or lump sum is paid in accordance with 961 CMR 2.64, annuitized prize payments shall be made for the measuring life of the Top Prize or second prize winner. All annuitized payments shall be made for a minimum of 20 years. The measuring life as defined in 961 CMR 2.64(5)(a)1.e. and (5)(a)2.e. shall be determined at the time the Top Prize or second prize is claimed. In the event that annuitized prize payments are assigned, if allowable under state law, or assigned by a court order, the measuring life at the time the Top Prize or second prize was claimed shall not change and limit or extend the number of annuitized payments due any assignee, court-ordered or otherwise. In the event of the death of a lottery winner during the annuity payment period, the Party Lottery, with the approval of the Directors, upon petition of the estate of the lottery winner (the Estate) to the lottery jurisdiction in which the deceased lottery winner purchased the winning Game Ticket, and subject to a Party Lottery's state laws, may accelerate the payment of all the remaining lottery proceeds to the Estate. a. If the annuitant dies during the annuity payment period but before the guaranteed prize has been paid, the estate shall receive the remaining payments equal to the minimum guaranteed prize. b. If the annuitant dies during the annuity payment period but after the minimum guaranteed prize has been paid, all payments shall stop. 2. Low-tier Set Prize Payments. All low-tier set prizes (all prizes except the Top Prize and second prize) shall be paid in one single cash payment through the Selling Lottery which sold the winning Game Ticket(s). A Selling Lottery may begin paying low-tier cash prizes after receiving authorization to pay from the Clearinghouse Lottery. (d) Statistical Information. The following table details statistical information relevant to the Lucky for Life game.

4/11/14 (Effective 3/20/14) 36.31 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. 961 CMR: STATE LOTTERY COMMISSION

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Odds of Winning, Prize Payouts and Prize Funding as a Percentage of Sales.

Matches Matches Prize Level Matrix #1 Matrix #2 1/Probability Prize % Sales (5 of 43) (1 of 43)

1 5 1 41,391,714 $7,000/Week for Life* 10.2678%

2 5 0 985,517 $25,000/Year for Life* 27.9041%

3 4 1 217,851.126 $3,000* .6885%

4 4 0 5,186.932 $150 1.4459% 5 3 1 5,887.868 $100 .8492%

6 3 0 140.187 $10 3.5667%

7 2 1 490.656 $20 2.0381%

8 2 0 11.682 $2 8.5600%

9 1 1 112.150 $5 2.2292%

10 0 1 82.463 $4 2.4253%

Total Payout 59.9748% Average Chance of Winning: 1 in 8.607

* Prize amounts may be split if there are multiple winners, in accordance with the provisions established in 961 CMR 2.64(5)(a). Split prizes may be lower than the published prize amounts.

(6) Disputes. In the event a dispute between a Party Lottery and a Game Ticket bearer occurs as to whether the Game Ticket is a winning ticket, and if the ticket prize is not paid, the Party Lottery may, solely at its option and discretion, reimburse the Game Ticket bearer the purchase price of the ticket. This shall be the sole and exclusive remedy to the bearer of the Game Ticket.

(7) Applicable Law. In purchasing a Game Ticket issued for Lucky for Life game, the following provisions apply: (a) The Purchaser agrees to comply with and abide by the state laws and final decisions of the Party Lottery and all rules established for the conduct of the Lucky for Life game. (b) Decisions made by the Lucky for Life Directors, including the declaration of prizes and the payment thereof and the interpretation of 961 CMR 2.64, shall be final and binding on all Purchasers and on every person making a claim in respect thereof. In the event of conflict, however, between 961 CMR 2.64 and the applicable Party Lottery state laws, the applicable Party Lottery’s state laws shall control. (c) All claims or litigation relating to Lucky for Life Game Tickets and/or prizes: 1. shall be resolved according to the state laws of the Party Lottery wherein the Lucky for Life game was purchased; 2. must be litigated in said state of such purchase; and 3. can only be brought against the Party Lottery in the state where such ticket was purchased. Nothing in 961 CMR 2.00 or 961 CMR 2.64(7) waives any defense, legal or equitable, available to a Party Lottery, including sovereign immunity.

4/11/14 (Effective 3/20/14) 36.32 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. 961 CMR: STATE LOTTERY COMMISSION

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(8) Season Tickets. (a) Lucky for Life Season Tickets may be sold by the Massachusetts State Lottery Commission and by licensed Sales Agents operating terminals or by Season Ticket application. (b) Season Tickets will be sold in the following manner: 1. Plan "A" - 52 consecutive drawings sold for the price of $100.00. 2. Plan "B" - 104 consecutive drawings sold for the price of $200.00. 3. Plan "C" - 26 consecutive drawings sold for the price of $50.00. (c) The Director reserves the right to adjust both price and number of drawings as defined in 961 CMR 2.64(8)(b). (d) Season Tickets become effective and eligible to win a prize starting with the effective date printed on the ticket. Season Tickets are not effective on the date of purchase. Lucky for Life Season Tickets may be canceled only if the original Season Ticket and registration form is received in the office of the Season Ticket Department prior to the effective date of the Season Ticket. (e) Based upon the Plan selected as defined in 961 CMR 2.64(8)(b), Season Tickets, unless renewed, automatically expire at the end of 52, 104 or 26 drawings. Prior to expiration, renewal applications will be sent to registered Season Ticket holders with a Massachusetts address. Renewal applications received after the time period specified upon the renewal form may be assigned a new effective date. If, upon renewal, the customer requests a change in any or all of the five numbers in Matrix 1 or the one number in Matrix 2, his/her renewal application shall be treated as a new ticket rather than a renewal. Said new ticket will be effective upon completion of processing by the Season Ticket Department. (f) Purchasers of Season Tickets shall select the five numbers in Matrix 1 and one number in Matrix 2 that he or she wishes to appear on the Season Ticket. Said Purchasers are cautioned to examine his or her ticket upon purchase and prior to its effective date to assure the numbers printed represent the numbers desired. The Lottery will only be liable for the payment of a prize based upon the numbers as they appear on the Season Ticket and registered on the Lottery's Computer. In the event of a conflict, the numbers as registered on the Lottery Computer shall control. (g) Purchasers of Season Tickets may elect to use the "Quic Pic" feature for the selection of his or her numbers. The five numbers in Matrix 1 and one number in Matrix 2 will be randomly selected by the Lottery Computer and printed on the Season Ticket. The Lottery will only be liable for the payment of a prize based upon the numbers as they appear on the Season Ticket and registered on the Lottery's Computer. In the event of a conflict, the numbers as registered on the Lottery Computer shall control. (h) In the event the Lottery receives a Season Ticket application or renewal application with less than five numbers in Matrix 1 and/or one number in Matrix 2 as selected by the applicant, the Lottery may randomly select all or any of those omitted numbers to assure each application contains five numbers in Matrix 1 and one number in Matrix 2. (i) In the event the Lottery receives a Season Ticket application or renewal application with more than five numbers in Matrix 1 and/or one number in Matrix 2 as selected by the applicant, the Lottery may randomly delete one or more of the numbers selected in order to obtain a valid ticket with five numbers in Matrix 1 and one number in Matrix 2. (j) The owner of a Season Ticket purchased through a Sales Agent must register his or her name with the Lottery on a form provided with the purchase of the ticket or on-line through the Lottery's website if prizes are to be paid automatically and renewal information to be sent. (k) When more than one name appears on the application or registration form, the Lottery may select the first name listed and designate him or her as agent for collection. In the event the ticket wins a prize, it will be the responsibility of the recorded agent to make known to the Lottery, Internal Revenue Service, and the Department of Revenue, the name, social security number and proportionate share of each of the winners. (l) A Lucky for Life Season Ticket purchased through an application is not effective until it is registered on the Lottery's Computer and a Season Ticket issued to the applicant regardless of whether or not payment for such ticket has been accepted by the Commission prior to such registration or otherwise.

4/11/14 (Effective 3/20/14) 36.33 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. 961 CMR: STATE LOTTERY COMMISSION

2.64: continued

(m) The Director may change the Matrix of numbers from which winning numbers will be selected to a number greater or less than the Matrix available at the time the Season Ticket is purchased. In the event a Matrix is enlarged, a Season Ticket holder may request in writing at least four weeks before the effective date of such change that his/her number selection be changed; provided, however, this option shall be limited to changing one or more numbers from a Matrix of numbers in existence at the time the ticket was purchased to one or more of the numbers added to that Matrix. In the event a Matrix is decreased and one or more of the numbers selected at the time the tickets was purchased is eliminated from the Matrix of available numbers, the holder may request, in writing, that the numbers so eliminated be replaced by one or more numbers from the Matrix of numbers remaining after said decrease. In the event the holder fails to exercise this option at least four weeks prior to the effective date of such change, the Lottery may randomly select new numbers on the holders behalf in accordance with the limitations contained herein. (n) In the event the Commission cancels the operation of Lucky for Life, the amount paid for drawings so canceled shall be refunded to the registered holder and said refund shall constitute the Commission's sole obligation to the holders of Lucky for Life Season Tickets in the event of said cancellation. All other provisions of 961 CMR 2.00 shall, if applicable, apply to the Multi-state Game -- LUCKY FOR LIFE.

2.65: JACKPOT POKER

(1) Effective Date. Sale of JACKPOT POKER begins on June 17, 2013.

(2) Definitions.

Consecutive Games. The number of successive JACKPOT POKER games (i.e. 2, 3, 4, 5, 10, 20, 25, 30) for which a player may make a selection on a single JACKPOT POKER ticket.

Exchange Ticket. The ticket issued to replace a consecutive game ticket that is validated prior to the last game on the ticket.

JACKPOT POKER. An on-line Lottery game in which a player selects five numbers from a field of 52 numbers. The Lottery randomly selects 52 numbers ranging from number one to number 52 where each number corresponds to a playing card from a standard deck of playing cards. Depending on the cards corresponding to the numbers selected by the player and validation of the ticket, the player may win a prize.

Progressive Jackpot. A feature by which a bettor may place an additional wager on the jackpot element of the game. Rules regarding the Progressive Jackpot shall be set by the Director in an Administrative Bulletin governing the game.

Quic Pic. A function that allows an on-line terminal to automatically and randomly select JACKPOT POKER numbers for a player.

Winning Hand. The five numbers selected by a bettor corresponding to the playing cards randomly selected for each drawing.

(3) Valid Bet. Except as otherwise provided in 961 CMR 2.65, a valid bet on the JACKPOT POKER game using the Lottery's computer processing system shall be a bet which is: (a) Placed with and accepted by a sales agent licensed to sell the JACKPOT POKER game or by a Lottery facility specifically designated for the purpose. (b) Paid for in full at the time and place the bet is placed. (c) Recorded correctly on a computer terminal generated ticket in accordance with 961 CMR 2.00. (d) Represented by a ticket generated by a computer terminal. The ticket must contain the following information: 1. The number selection; 2. The amount wagered;

4/11/14 (Effective 3/20/14) 36.34 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. 961 CMR: STATE LOTTERY COMMISSION

2.65: continued

3. The number of games played; 4. the date or dates of play; 5. A terminal identification number; 6. An 18-digit ticket serial number; 7. A machine readable (bar code) ticket serial number; 8. A verifiable numeric representation of the information contained on the ticket consistent with the information contained in the Lottery's computer records. (e) Accepted by the Lottery Computer prior to the selection of the winning numbers for the game(s) on the ticket. (f) In the event of an apparent contradiction between information as printed on the ticket and as accepted by the Lottery Computer, the bet as accepted by the Lottery Computer shall be the valid bet.

(4) Placing Bets. (a) Bets may be placed by the bettor orally instructing the Lottery sales agent of his or her number selections or requesting a "Quic Pic" and the sales agent then registering the bet via the terminal keyboard or by preparing a betting slip which is then entered into the terminal. Betting slips shall be prepared as follows: 1. Marking of Betting Slips. In completing a betting slip for the JACKPOT POKER game the bettor MUST: a. Use only pencil or blue ballpoint pen for marking the slip; b. Select the amount bet per game; c. Select the number of games played; d. Select the five numbers he or she wishes to play; or e. Select the Quic Pic box. 2. Only official bet slips issued by the Lottery and hand marked by the bettor(s) may be used to place bets. The use of mechanical, electronic, computer generated or any other method of marking betting slips is prohibited. 3. Bet slips shall have no pecuniary or prize value, or constitute evidence of purchase or number selections. (b) The terminal must generate a ticket as described in 961CMR 2.65(3)(d) which is given to the bettor as his or her receipt. (c) A single game bet may be canceled on the day it is placed prior to the close of betting for the game for which the bet is eligible. A consecutive game bet may be canceled on the day it is placed prior to the close of betting for the first game for which the bet is eligible. Consecutive game bets cannot be canceled after the first game for which the bet is eligible takes place. A bet must be canceled at the on-line terminal in which the bet was placed. Bettors shall be entitled to a full refund of their bet upon cancellation and in no event shall a canceled ticket be entitled to a prize. (c) Bets may be placed with any Lottery JACKPOT POKER agent operating a terminal or at any Lottery operated facility accepting JACKPOT POKER bets. (d) Bets may be placed at any time during the day at such time or times as will be determined by the Director, but all bets must be placed and accepted by the Lottery computer prior to the close of betting for a game. In the event that a bet is placed subsequent to the close of betting for a game, that bet shall be void and the Lottery's liability shall be limited to a refund of the amount of the bet. (e) The bet as represented by the ticket produced by the computer terminal is the only bet on which a prize may be claimed. Bettors are cautioned to examine their bet ticket at the time it is issued prior to the close of betting for the appropriate game in order to ensure that the ticket accurately represents the correct number selections, amount wagered and games for which it is eligible. (f) In the event that the sales agent or the computer terminal errs when the bet is placed, it shall be the responsibility of the bettor to determine that an error has been made and to request cancellation (provided betting for the game has not closed) of the bet and the return of the purchase price. The Lottery shall not be liable for the payment of a prize because of sales agent or computer terminal error when the bet is placed. (g) The Lottery shall not be liable for the payment of a prize in the event that the bet is canceled intentionally or through inadvertence of the sales agent.

4/11/14 (Effective 3/20/14) 36.35 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. 961 CMR: STATE LOTTERY COMMISSION

2.65: continued

(h) It shall be the responsibility of the person who collects the prize to make certain that he or she is receiving the correct sum of prize money. The Lottery shall not be liable for any underpayment except that the Director in his or her discretion may direct that an additional prize payment be made in order to correct an obvious mistake.

(5) Betting Tickets. (a) The betting ticket is a bearer instrument unless signed by owner and prize may be claimed by anyone in possession of unsigned winning ticket. (b) Sales Agents may pay claims up to and including the sum of $600.00. Any claim of more than $600.00 shall be made on a claim form supplied by the Lottery at all sales agent locations. The procedure to be followed for claims in excess of $600.00 and 961 CMR 2.00 governing each procedure shall be pursuant to 961 CMR 2.38.

(6) Lost, Mislaid or Stolen JACKPOT POKER Tickets. The Lottery Commission may pay a prize to the holder of a JACKPOT POKER ticket and the payment of such prize shall absolve the Commission of any further liability with respect to such ticket. In determining whether a prize has been paid on a JACKPOT POKER Ticket, the Commission may rely solely upon its computer records in determining whether or not a particular prize has been paid and the status as determined by the Lottery's computer shall be binding on the holder. In the event of a lost, stolen or mislaid ticket, the Director may order an investigation, and if he or she is satisfied that the claimant in fact is the owner of the lost, stolen or mislaid ticket and it has not otherwise been paid, he or she may in his or her discretion pay the prize to the claimant thereof. All payments of prizes on lost, stolen or mislaid tickets shall not be made for a period of 90 days in the case of a prize of $200.00 or less and shall not be made for one year if the prize exceeds $200.00 unless the Director in his or her discretion shall decide otherwise.

(7) Sales Agents. Sales Agents are required to pay to the Lottery all sums due on the date established for payment. Failure to make payment when due or upon notice from the custodial bank that funds are not available will result in the immediate shut down of that Sales Agent's terminal and the Sales Agent's license to sell the JACKPOT POKER and/or any other Lottery game shall be subject to revocation, suspension or non renewal pursuant to the provisions of 961 CMR 2.13.

(8) Prizes. All prize amounts shall be set by the Director by Administrative Bulletin. The Administrative Bulletin shall detail the total field of numbers to choose from, establish minimum prizes, rules for rounding payments to the nearest dollar or otherwise, rules for subtracting overpayments from a pool from subsequent pools and adding underpayments from a pool to subsequent pools, and such other matters as may be necessary or desirable for the proper operation of the game.

(9) Multiplier Feature. The Massachusetts State Lottery Commission may offer a multiplier feature, which may be known by an associated trade name, for the JACKPOT POKER. This is a feature by which a bettor, for an additional wager, may increase the prize amount by a factor depending upon a multiplier number that is drawn prior to a game. Rules regarding the multiplier feature shall be set by the Director in an Administrative Bulletin governing the game.

(10) The liability, whether by negligence or otherwise, of the Lottery and its licensed Sales Agents for invalid bets is limited to a refund of the amount wagered.

(11) Miscellaneous. All other provisions of 961 CMR shall, if applicable, apply to the JACKPOT POKER game.

REGULATORY AUTHORITY

961 CMR 2.00: M.G.L. c. 10, § 24 and c. 30A, § 3.

4/11/14 (Effective 3/20/14) 36.36 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 # 651

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 211 CMR 7.00

CHAPTER TITLE: Financial Surveillance of Massachusetts Insurance Holding Company Systems

AGENCY: Division of Insurance

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. The proposed changes bring the provisions of 211 CMR 7.00 into compliance with national standards relative to disclosure requirements and monitoring of enterprise risk as it relates to domestic insurance companies that are members of an insurance holding company system. The changes are also necessary to assure that the Division of Insurance continues to be accredited by the National Association of Insurance Commissioners (“NAIC”).

REGULATORY AUTHORITY: M.G.L. c. 175, § 206C

AGENCY CONTACT: Christopher M. Joyce PHONE: (617) 521-7387

ADDRESS: Division of Insurance, 1000 Washington St., Suite 810, Boston, MA 02118-6200

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 the Local Advisory Commission was made on November 6, 2013.

PUBLIC REVIEW - M.G.L. c. 30A sections 2 and/or 3 requires notice of the hearing or comment period, including a small business impact statement, 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: December 20, 2013

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 99 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: possible slight additional cost based on an additional report

For the first five years: possible slight additional cost based on an additional report

No fiscal effect:

SMALL BUSINESS IMPACT - M.G.L. c. 30A section 5 requires each agency to file an amended small business impact statement with the Secretary of the Commonwealth prior to the adoption of a proposed regulation. If the purpose of this regulation is to set rates for the state, this section does not apply.

Date amended small business impact statement was filed: March 26, 2014

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

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: This promulgation amends 211 CMR 7.00.

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: Mar 27 2014

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1258 DATE: 04/11/2014

EFFECTIVE DATE: 04/11/2014

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: 1, 2 1, 2 41 - 58 41 - 58.2

03/28/2014 cm

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 100 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 211 CMR: DIVISION OF INSURANCE

Table of Contents Page

(211 CMR 1.00 AND 2.00: RESERVED) 29

211 CMR 3.00: MOTORCYCLE INSURANCE 33

(211 CMR 4.00 THROUGH 6.00: RESERVED) 35

211 CMR 7.00: MASSACHUSETTS INSURANCE HOLDING COMPANY SYSTEM 41

Section 7.01: General 41 Section 7.02: Forms 41 Section 7.03: Definitions 43 Section 7.04: Subsidiaries of Domestic Insurers 43 Section 7.05: Acquisition of Control Statement (Form A) 43 Section 7.06: Registration of Insurers Statement (Form B and Form C) 44 Section 7.07: Transactions Subject to Prior Notice - Notice Filing (Form D) 45 Section 7.08: Extraordinary Dividends and Other Distributions 45 Section 7.09: Adequacy of Surplus 46 Section 7.10: Enterprise Risk Report (Form F) 46 Section 7.11: Form A Instructions 46 Section 7.12: Form B Instructions 49 Section 7.13: Form C Instructions 53 Section 7.14: Form D Instructions 55 Section 7.15: Form F Instructions 58

211 CMR 8.00: INVESTMENTS OF OFFICERS, DIRECTORS, AND PRINCIPAL STOCK- HOLDERS OF DOMESTIC STOCK INSURANCE COMPANIES 59

Section 8.01: Memorandum of Order Relative to Adopting Forms for Filing Statements Under M.G.L. c. 175, § 193I(b) 59 Section 8.02: Form 3 59 Section 8.03: Form 4 61

( 211 CMR 9.00: RESERVED) 65

211 CMR 10.00: NATION-WIDE MARINE DEFINITIONS 67

211 CMR 11.00: INSURANCE ON OUTBOARD MOTORS AND MOTOR BOATS--OCEAN MARINE OR INLAND MARINE 69

(211 CMR 12.00: RESERVED) 71

211 CMR 13.00: PROXIES, CONSENTS AND AUTHORIZATION OF DOMESTIC STOCK INSURERS 73

Section 13.01: Application 73 Section 13.02: Proxies, Consents and Authorizations 73 Section 13.03: Disclosure of Equivalent Information 73 Section 13.04: Definitions 73 Section 13.05: Information to Be Furnished to Security Holders 74 Section 13.06: Requirements as to Proxy and Information Statement 75 Section 13.07: Material Required to Be Filed 76 Section 13.08: False or Misleading Statements 76 Section 13.09: Prohibition of Certain Solicitations 76 Section 13.10: Special Provisions Applicable to Election Contests 76 Section 13.11: Schedule A: Information Required in Proxy Statement or Information Statement 78 Section 13.12: Schedule B: Information to Be Included in Statements Filed by or on Behalf of a Participant (Other Than the Insurer) in a Proxy Solicitation in an Election Contest 81

4/11/14 211 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. 211 CMR: DIVISION OF INSURANCE

Table of Contents Page

( 211 CMR 14.00: RESERVED) 83

211 CMR 15.00: STATISTICAL PLANS 85

Section 15.01: Memorandum of Order Relative to the Establishment of a Statistical Plan for the Annual Reporting of Classified Fire Experience 86 Section 15.02: Memorandum of Order Relative to the Establishment of a Statistical Plan (Commercial Risks Statistical Plan) 86 Section 15.03: Memorandum of Order Relative to the Establishment of a Statistical Plan (Commercial Risks Statistical Plan) 86 Section 15.04: Memorandum of Order Relative to the Establishment of a Statistical Plan for Personal Lines and Commercial Lines 86 Section 15.05: Memorandum of Order Relative to the Establishment of a Statistical Plan for Inland Marine Insurance 87 Section 15.06: Memorandum of Order Relative to the Establishment of a Statistical Plan for Submitting Reports on Manufacturers Output Policy 87 Section 15.07: Memorandum of Order Relative to the Establishment of a Statistical Plan (Automobile Statistical Plan for Fire, Theft, Comprehensive, Collision and Allied Coverages) 87 Section 15.08: Memorandum of Order Relative to the Establishment of a Statistical Plan for Earned Premiums and Incurred Losses for Fire and Extended Coverage Insurance 87 Section 15.09: Memorandum of Order Relative to the Establishment of a Statistical Plan for Dwellings -- Fire and Allied Lines Insurance 88 Section 15.10: Memorandum of Order Relative to the Establishment of a Statistical Plan (Fire and Allied Lines Statistical Plan) 88 Section 15.11: Memorandum of Order Relative to the Establishment of a Statistical Plan (Export Credit Insurance Statistical Plan) 88 Section 15.12: Memorandum of Order Relative to the Establishment of a Statistical Plan (Fidelity, Forgery and Surety Statistical Plan) 88 Section 15.13: Memorandum of Order Relative to the Establishment of a Statistical Plan (Fidelity, Surety and Forgery Uniform Statistical Plan) 89 Section 15.14: Memorandum of Order Relative to the Establishment of a Statistical Plan (Glass Insurance Statistical Plan) 89 Section 15.15: Memorandum of Order Relative to the Establishment of a Statistical Plan (Boiler and Machinery Insurance Statistical Plan) 89 Section 15.16: Memorandum of Order Relative to the Establishment of a Statistical Plan (1958 Statistical Plan -- Home-owners Policy) 89 Section 15.17: Memorandum of Order Relative to the Establishment of a Statistical Plan for Homeowners Policies, Comprehensive Dwelling Policy, Dwelling Policies 90 Section 15.18: Memorandum of Order Relative to the Establishment of a Statistical Plan for Submitting Reports on Manufacturers Output Policy 90 Section 15.19: Auditing Requirements for Property Coverages Under Multiple Line Policies 90 Section 15.20: Memorandum of Order Relative to the Establishment of a Statistical Plan (Special Multi-Peril Policy) 91 Section 15.21: Memorandum of Order Relative to the Establishment of a Statistical Plan (Special Multi-Peril Policy) 91 Section 15.22: Memorandum of Order Relative to the Establishment of a Statistical Plan (Special Multi-Peril Policy and Fire and Allied Lines Insurance Statistical Plan) 91 Section 15.23: Memorandum of Order Relative to the Establishment of a Statistical Plan (Special Multi-Peril Policy) 91 Section 15.24: Memorandum of Order Relative to the Establishment of a Statistical Plan (General Liability Statistical Plan) 92 Section 15.25: Memorandum of Order Relative to the Establishment of a Statistical Plan (Burglary Insurance Statistical Plan) 92

12/27/96 211 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. 211 CMR: DIVISION OF INSURANCE

211 CMR 7.00: MASSACHUSETTS INSURANCE HOLDING COMPANY SYSTEM

Section

7.01: General 7.02: Forms 7.03: Definitions 7.04: Subsidiaries of Domestic Insurers 7.05: Acquisition of Control Statement (Form A) 7.06: Registration of Insurers Statement (Form B and Form C) 7.07: Transactions Subject to Prior Notice - Notice Filing (Form D) 7.08: Extraordinary Dividends and Other Distributions 7.09: Adequacy of Surplus 7.10: Enterprise Risk Report (Form F) 7.11: Form A Instructions 7.12: Form B Instructions 7.13: Form C Instructions 7.14: Form D Instructions 7.15: Form F Instructions

7.01: General

(1) Authority. 211 CMR 7.00 is promulgated pursuant to the authority granted by M.G.L. c. 175, § 206C.

(2) Purpose. The purpose of 211 CMR 7.00 is to set forth rules and procedural requirements which the Commissioner deems necessary to carry out the provisions of M.G.L. c. 175, §§ 206 through 206D. The information called for by 211 CMR 7.00 is hereby declared to be necessary and appropriate in the public interest and for the protection of the policyholders and shareholders in the Commonwealth.

(3) Severability Clause. If any provision of 211 CMR 7.00, or the application thereof to any person or circumstance, is held invalid, such determination of invalidity shall not affect other provisions or applications of 211 CMR 7.00 which can be given effect without the invalid provision or application, and to that end the provisions of 211 CMR 7.00 are severable.

7.02: Forms

(1) General Requirements. (a) Forms A, B, C, D, and F are intended to be guides in the preparation of the statements required by M.G.L. c. 175, §§ 206B and 206C. They are not intended to be blank forms which are to be filled in. The statements filed shall contain the numbers and captions of all items, but the text of the items may be omitted provided the answers thereto are prepared in such a manner as to indicate clearly the scope and coverage of the items. All instructions, whether appearing under the items of the form or elsewhere therein, are to be omitted. Unless expressly provided otherwise, if any item is inapplicable or the answer thereto is in the negative, an appropriate statement to that effect shall be made. (b) Three complete copies of each statement including exhibits and all other papers and documents filed as a part thereof, shall be filed with the Commissioner. A copy of Form C shall be filed in each state in which an insurer is authorized to do business, if the Commissioner of that state has notified the insurer of its request in writing, in which case the insurer has 30 days from receipt of the notice to file such form. At least one of the copies shall be manually signed in the manner prescribed on the form. Unsigned copies shall be conformed. If the signature of any person is affixed pursuant to a power of attorney or other similar authority, a copy of the power of attorney or other authority shall also be filed with the statement.

4/11/14 211 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. 211 CMR: DIVISION OF INSURANCE

7.02: continued

(c) Statements should be prepared on paper 8 ½" x 11" [or 8 ½" x 13"] in size and preferably bound at the top or the top left-hand corner. Exhibits and financial statements, unless specifically prepared for the filing, may be submitted in their original size. All copies of any statement, financial statements or exhibits shall be clear, easily readable and suitable for photocopying. Debits in credit categories and credits in debit categories shall be designated so as to be clearly distinguishable as such on photocopies. Statements shall be in the English language and monetary values shall be stated in United States currency. If any exhibit or other paper or document filed with the statement is in a foreign language, it shall be accompanied by a translation into the English language and any monetary value shown in a foreign currency normally shall be converted into United States currency.

(2) Incorporation by Reference, Summaries and Omissions. (a) Information required by any item of Form A, Form B, Form D or Form F may be incorporated by reference in answer or partial answer to any other item. Information contained in any financial statement, annual report, proxy statement, statement filed with a governmental authority, or any other document may be incorporated by reference in answer or partial answer to any item of Form A, Form B, Form D or Form F provided the document or paper is filed as an exhibit to the statement. Excerpts of documents may be filed as exhibits if the documents are extensive. Documents currently on file with the Commissioner which were filed within three years need not be attached as exhibits. References to information contained in exhibits or in documents already on file shall clearly identify the material and shall specifically indicate that such material is to be incorporated by reference in answer to the item. Matter shall not be incorporated by reference in any case where the incorporation would render the statement incomplete, unclear or confusing. (b) Where an item requires a summary or outline of the provisions of any document, only a brief statement shall be made as to the pertinent provisions of the document. In addition to the statement, the summary or outline may incorporate by reference particular parts of any exhibit or document currently on file with the Commissioner which was filed within three years and may be qualified in its entirety by such reference. In any case where two or more documents required to be filed as exhibits are substantially identical in all material respects except as to the parties thereto, the dates of execution, or other details, a copy of only one of the documents need be filed with a schedule identifying the omitted documents and setting forth the material details in which the documents differ from the documents, a copy of which is filed.

(3) Forms -Information Unknown or Unavailable and Extension of Time to Furnish. (a) Information required need be given only insofar as it is known or reasonably available to the person filing the statement. If any required information is unknown and not reasonably available to the person filing, either because the obtaining thereof would involve unreasonable effort or expense, or because it rests peculiarly within the knowledge of another person not affiliated with the person filing, the information may be omitted, subject to the following conditions: 1. The person filing shall give such information on the subject as it possesses or can acquire without unreasonable effort or expense, together with the sources thereof; and 2. The person filing shall include a statement either showing that unreasonable effort or expense would be involved or indicating the absence of any affiliation with the person within whose knowledge the information rests and stating the result of a request made to that person for the information. (b) If it is impractical to furnish any required information, document or report at the time it is required to be filed, there may be filed with the Commissioner a separate request: 1. Identifying the information, document or report in question; 2. Stating why the filing thereof at the time required is impractical; and 3. Requesting an extension of time for filing the information, document or report to a specified date. The request for extension shall be deemed granted unless the Commissioner within 30 days after receipt thereof enters an order denying the request.

4/11/14 211 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. 211 CMR: DIVISION OF INSURANCE

7.02: continued

(4) Additional Information and Exhibits. In addition to the information expressly required to be included in Form A, Form B, Form C, and Form D, the Commissioner may request such further material information, if any, as may be necessary to make the information contained therein not misleading. The person filing may also file such exhibits as it may desire in addition to those expressly required by the statement. The exhibits shall be so marked as to indicate clearly the subject matters to which they refer.

(5) Forms - Amendments. Any amendments to Forms A, B, C, D, or F shall include on the top of the cover page the phrase: "Amendment No. S)))))))))Q to" and shall indicate the date of the change and not the date of the original filing.

7.03: Definitions

Enterprise Risk shall mean any activity, circumstance, event or series of events involving one or more affiliates of an insurer that, if not remedied promptly, is likely to have a material adverse effect upon the financial condition or liquidity of the insurer or its insurance holding company system as a whole, including, but not limited to, anything that would cause the insurer's Risk-based Capital to fall into company action level as set forth in 211 CMR 20.00: Risk-based Capital (RBC) for Insurers or would cause the insurer to be in hazardous financial condition as set forth in 211 CMR 150.00: Standards and Commissioner's Authority for Placing Companies Deemed to Be in Hazardous Financial Condition under Administrative Supervision.

Foreign Insurer shall include an alien insurer except where clearly noted otherwise.

Principal Executive Officer means chief executive officer, chief operating officer, chief financial officer, treasurer, secretary, controller, and any other individual performing functions corresponding to those performed by the foregoing officers under whatever title.

Ultimate Controlling Person means that person which is not controlled by any other person.

Unless the context otherwise requires, other terms found in 211 CMR 7.00 and M.G.L. c. 175, §§ 206 through 206D are used as defined in M.G.L. c. 175, § 206. Other nomenclature or terminology is according to M.G.L. c. 175, or industry usage if not defined by M.G.L. c. 175.

7.04: Subsidiaries of Domestic Insurers

The authority to invest in subsidiaries under M.G.L. c. 175, § 206A is in addition to any authority to invest in subsidiaries which may be contained in any other provision of M.G.L. c. 175.

7.05: Acquisition of Control Statement (Form A)

(1) Statement Filing. A person required to file a statement pursuant to M.G.L. c. 175, § 206B shall furnish the information required by Form A, hereby made a part of 211 CMR 7.00.

(2) Amendments. The applicant shall, within two business days of any material change in the information furnished on Form A arising subsequent to the date upon which the information was furnished but prior to the Commissioner's disposition of the application, advise the Commissioner of such change.

(3) Acquisition of Persons Controlling a Domestic Insurer. (a) If the person being acquired is deemed to be a person controlling a domestic insurer solely because of the provisions of M.G.L. c. 175, § 206B, the name of the domestic insurer on the cover page of Form A should be indicated as follows:

______, (Insert name of ins. co.)

a subsidiary of ______(Insert name of corp.)

4/11/14 211 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. 211 CMR: DIVISION OF INSURANCE

7.05: continued

(b) Where a M.G.L. c. 175, § 206B(a)(1) insurer is being acquired, references to "the insurer" contained in Form A shall refer to both the domestic subsidiary insurer and the person being acquired.

7.06: Registration of Insurers Statement (Form B and Form C)

(1) Statement filing. An insurer required to file an annual registration statement pursuant to M.G.L. c. 175, § 206C(a) shall furnish the information required by Form B, hereby made a part of 211 CMR 7.00.

(2) Summary of Registration - Statement Filing (Form C). An insurer required to file an annual registration statement pursuant to M.G.L. c. 175, § 206C is also required to furnish information required on Form C, hereby made a part of 211 CMR 7.00. An insurer shall file a copy of Form C in each state in which the insurer is authorized to do business, if requested by the Commissioner of that state.

(3) Amendments. (a) An amendment to Form B shall be filed within 15 days after the end of any month in which there is a material change to the information provided in the annual registration statement. (b) Amendments shall be filed in the Form B format with only those items which are being amended reported. Each amendment shall include at the top of the cover page "Amendment No. [insert number] to Form B for [insert year]" and shall indicate the date of the change and not the date of the original filings.

(4) Alternative and Consolidated Registrations. (a) Any authorized insurer in Massachusetts may file a registration statement on behalf of any affiliated insurer or insurers which are required to register under M.G.L. c. 175, § 206C. A registration statement may include information not required by M.G.L. c. 175, §§ 206 through 206(D) regarding any insurer in the insurance holding company system even if the insurer is not authorized to do business in this Commonwealth. In lieu of filing a registration statement on Form B, the authorized insurer may file a copy of the registration statement or similar report which it is required to file in its State of domicile, provided: 1. The statement or report contains substantially similar information required to be furnished on Form B; and 2. the filing insurer is the principal insurance company in the insurance holding company system. (b) The question of whether the filing insurer is the principal insurance company in the insurance holding company system is a question of fact and an insurer filing a registration statement or report in lieu of Form B on behalf of an affiliated insurer, shall set forth a brief statement of facts which will substantiate the filing insurer's claim that it, in fact, is the principal insurer in the insurance holding company system. (c) With the prior approval of the Commissioner, an insurer not authorized in Massachusetts may follow any of the procedures which are available to an authorized insurer under 211 CMR 7.06(4)(a). (d) Any insurer may take advantage of the provisions of M.G.L. c. 175, §§ 206C(h) or 206C(i) without obtaining the prior approval of the Commissioner. The Commissioner, however, reserves the right to require individual filings if he or she deems such filings necessary in the interest of clarity, ease of administration or the public good.

(5) Disclaimers and Termination of Registration. (a) A disclaimer of affiliation or a request for termination of registration claiming that a person does not, or will not upon the taking of some proposed action, control another person (hereinafter referred to as the "subject") shall contain the following information: 1. The number of authorized, issued and outstanding voting securities of the subject; 2. With respect to the person whose control is denied and all affiliates of such person, the number and percentage of shares of the subject's voting securities which are held of record or known to be beneficially owned, and the number of shares concerning which there is a right to acquire, directly or indirectly;

4/11/14 211 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. 211 CMR: DIVISION OF INSURANCE

7.06: continued

3. All material relationships and bases for affiliation between the subject and the person whose control is denied and all affiliates of such person; and 4. A statement explaining why the person should not be considered to control the subject. (b) A request for termination of registration shall be deemed to have been granted unless the Commissioner, within 30 days after receipt of the request, notifies the registrant otherwise.

(6) Exemptions. (a) A foreign or alien insurer shall not be required to register pursuant to M.G.L. c. 175, § 206C if it is subject to disclosure requirements and standards adopted by statute or regulation which are substantially similar to those contained in M.G.L. c. 175, § 206C and provided the jurisdiction of its domicile grants a similar exemption to insurers domiciled in this commonwealth and to all insurers included within such domiciled insurer's alternative or consolidated filing made pursuant to 211 CMR 7.06(4) and, provided further, the Commissioner may require a copy of the registration statement or other information filed with the domiciliary state. (b) The state of entry of an alien insurer shall be deemed to be its domiciliary state for the purposes of M.G.L. c. 175, § 206C. (c) Any insurer not otherwise exempt from M.G.L. c. 175, § 206C may apply for an exemption from the requirements of M.G.L. c. 175, § 206C by submitting a statement to the Commissioner setting forth its reason for being exempt.

7.07: Transactions Subject to Prior Notice - Notice Filing (Form D)

An insurer required to give notice of a proposed transaction pursuant to M.G.L. c. 175, § 206C(n) shall furnish the information required by Form D, hereby made a part of 211 CMR 7.00.

7.08: Extraordinary Dividends and Other Distributions

(1) Requests for approval of extraordinary dividends or any other extraordinary distribution to shareholders shall include the following: (a) The amount of the proposed dividend or distribution; (b) The date established for payment of the dividend or distribution; (c) A statement as to whether the dividend or distribution is to be in cash or other property and, if in property, a description thereof, its cost, and its fair market value together with an explanation of the basis for valuation; (d) A copy of the calculations determining that the proposed dividend or distribution is extraordinary. The work paper shall include the following information: 1. The amounts, dates and form of payment of all dividends paid or distributions made (including regular dividends but excluding distributions of the insurers own securities) within the period of 12 consecutive months ending on the date fixed for payment of the proposed dividend or distribution for which approval is sought and commencing on the day after the same day of the same month in the last preceding year; 2. Surplus as regards policyholders (total capital and surplus) and that portion of which constitutes unassigned funds, as of the 31st day of December next preceding; 3. If the insurer is a life insurer, the net gain from operations for the 12-month period ending the 31st day of December next preceding; 4. If the insurer is not a life insurer, the net income for the 12-month period ending the 31st day of December next preceding; and (e) A copy of the most recent financial statement required to have been filed with the Commissioner before the declaration of the dividend; (f) A brief statement as to the effect of the proposed dividend upon the insurer's surplus and the reasonableness of surplus in relation to the insurer's outstanding liabilities and the adequacy of surplus relative to the insurer's financial needs.

(2) Subject to M.G.L. c. 175, § 206C(r), each registered insurer shall report to the Commissioner all dividends and other distributions to shareholders within five business days following the declaration thereof, and at least ten days, commencing from the date of the receipt by the Commissioner, prior to the payment thereof, including the same information required by 211 CMR 7.08(1)(d)1. through 4.

4/11/14 211 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. 211 CMR: DIVISION OF INSURANCE

7.09: Adequacy of Surplus

The factors set forth in M.G.L. c. 175, § 206C(t) are not intended to be an exhaustive list. In determining the adequacy and reasonableness of an insurer's surplus no single factor is necessarily controlling. The Commissioner instead will consider the net effect of all of these factors plus other factors bearing on the financial condition of the insurer. In comparing the surplus maintained by other insurers, the Commissioner will consider the extent to which each of these factors varies from company to company and in determining the quality and liquidity of investments in subsidiaries, the Commissioner will consider the individual subsidiary and may discount or disallow its valuation to the extent that the individual investments so warrant.

7.10: Enterprise Risk Report (Form F)

(1) The ultimate controlling person of every insurer subject to registration pursuant to M.G.L. c. 175, § 206C shall furnish the information required by Form F.

(2) The report shall be filed with the lead state commissioner of the insurance holding company system as determined by the procedures within the Financial Analysis Handbook adopted by the National Association of Insurance Commissioners.

7.11: Form A Instructions

FORM A

STATEMENT REGARDING THE ACQUISITION OF CONTROL OF OR MERGER WITH A DOMESTIC INSURER

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BY

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Filed with the Division of Insurance of the Commonwealth of Massachusetts

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Dated: S)))))))))))))))))))Q, 20 S)))))Q

Name, Title, address and telephone number of Individual to Whom Notices and Correspondence Concerning this Statement Should be Addressed:

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(1) ITEM 1. INSURER AND METHOD OF ACQUISITION. State the name and address of the domestic insurer to which this application relates and a brief description of how control is to be acquired.

(2) ITEM 2. IDENTITY AND BACKGROUND OF THE APPLICANT (a) State the name and address of the applicant seeking to acquire control over the insurer.

4/11/14 211 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. 211 CMR: DIVISION OF INSURANCE

7.11: continued

(b) If the applicant is not an individual, state the nature of its business operations for the past five years or for such lesser period as such person and any predecessors thereof shall have been in existence. Briefly describe the business intended to be done by the applicant and the applicant's subsidiaries. (c) Furnish a chart or listing clearly presenting the identities of the interrelationships among the applicant and all affiliates of the applicant. No affiliate need be identified if its total assets are equal to less than ½ of 1% of the total assets of the ultimate controlling person affiliated with the applicant. Indicate in such chart or listing the percentage of voting securities of each such person which is owned or controlled by the applicant or by any other such person. If control of any person is maintained other than by the ownership or control of voting securities, indicate the basis of such control. As to each person specified in such chart or listing indicate the type of organization (e.g. corporation, trust, partnership) and the state or other jurisdiction of domicile. If court proceedings involving a reorganization or liquidation are pending with respect to any such person, indicate which person, and set forth the title of the court, nature of proceedings and the date when commenced.

(3) ITEM 3. IDENTITY AND BACKGROUND OF INDIVIDUALS ASSOCIATED WITH THE APPLICANT. State the following with respect to the applicant if he or she is an individual or all persons who are directors, executive officers or owners of 10% or more of the voting securities of the applicant if the applicant is not an individual. (a) Name and business address; (b) Present principal business activity, occupation or employment including position and office held and the name, principal business and address of any corporation or other organization in which such employment is carried on; (c) Material occupations, positions, offices or employment during the last five years, giving the starting and ending dates of each and the name, principal business and address of any business corporation or other organization in which each such occupation, position, office or employment was carried on; if any such occupation, position, office or employment required licensing by or registration with any federal, state or municipal governmental agency, indicate such fact, the current status of such licensing or registration, and an explanation of any surrender, revocation, suspension or disciplinary proceedings in connection therewith. (d) Whether or not such person has ever been convicted in a criminal proceeding (excluding minor traffic violations) during the last ten years and, if so, give the date, nature of conviction, name and location of court, and penalty imposed or other disposition of the case.

(4) ITEM 4. NATURE, SOURCE AND AMOUNT OF CONSIDERATION (a) Describe the nature, source and amount of funds or other considerations used or to be used in effecting the merger or other acquisition of control. If any part of the same is represented or is to be represented by funds or other consideration borrowed or otherwise obtained for the purpose of acquiring, holding or trading securities, furnish a description of the transaction, the names of the parties thereto, the relationship, if any, between the borrower and the lender, the amounts borrowed or to be borrowed, and copies of all agreements, promissory notes and security arrangements relating thereto. (b) Explain the criteria used in determining the nature and amount of such consideration. (c) If the source of the consideration is a loan made in the lender's ordinary course of business and if the applicant wishes the identity of the lender to remain confidential, he must specifically request that the identity be kept confidential.

(5) ITEM 5. FUTURE PLANS OF INSURER. Describe any plans or proposals which the applicant may have to declare an extraordinary dividend, to liquidate the insurer, to sell its assets to or merge it with any person or persons or to make any other material change in its business operations or corporate structure or management.

(6) ITEM 6. VOTING SECURITIES TO BE ACQUIRED. State the number of shares of the insurer's voting securities which the applicant, its affiliates and any person listed in Item 3 plan to acquire, and the terms of the offer, request, invitation, agreement or acquisition, and a statement as to the method by which the fairness of the proposal was arrived at.

4/11/14 211 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. 211 CMR: DIVISION OF INSURANCE

7.11: continued

(7) ITEM 7. OWNERSHIP OF VOTING SECURITIES. State the amount of each class of any voting security of the insurer which is beneficially owned or concerning which there is a right to acquire beneficial ownership by the applicant, its affiliates or any person listed in Item 3.

(8) ITEM 8. CONTRACTS, ARRANGEMENTS, OR UNDERSTANDINGS WITH RESPECT TO VOTING SECURITIES OF THE INSURER. Give a full description of any contracts, arrangements or understandings with respect to any voting security of the insurer in which the applicant, its affiliates or any person listed in Item 3 is involved, including but not limited to transfer of any of the securities, joint ventures, loan or option arrangements, puts or calls, guarantees of loans, guarantees against loss or guarantees of profits, division of losses or profits, or the giving or withholding of proxies. Such description shall identify the persons with whom the contracts, arrangements or understandings have been entered into.

(9) ITEM 9. RECENT PURCHASES OF VOTING SECURITIES. Describe any purchases of any voting securities of the insurer by the applicant, its affiliates or any person listed in Item 3 during the 12 calendar months preceding the filing of this statement. Include in the description the dates of purchase, the names of the purchasers, and the consideration paid or agreed to be paid therefor. State whether any shares so purchased are hypothecated, pledged, collaterally assigned or otherwise subject to any security interest.

(10) ITEM 10. RECENT RECOMMENDATIONS TO PURCHASE. Describe any recommendations to purchase any voting security of the insurer made by the applicant, its affiliates or any person listed in Item 3, or by anyone based upon interviews or at the suggestion of the applicant, its affiliates or any person listed in Item 3 during the 12 calendar months preceding the filing of this statement.

(11) ITEM 11. AGREEMENTS WITH BROKER-DEALERS. Describe the terms of any agreement, contract or understanding made with any broker-dealer as to solicitation of voting securities of the insurer for tender and the amount of any fees, commissions or other compensation to be paid to broker-dealers with regard thereto.

(12) ITEM 12. FINANCIAL STATEMENTS AND EXHIBITS. (a) Financial statements and exhibits shall be attached to this statement as an appendix, but list under this item the financial statements and exhibits so attached. (b) The financial statements shall include the annual financial statements of the persons identified in Item 2(c) for the preceding five fiscal years (or for such lesser period as such applicant and its affiliates and any predecessors thereof shall have been in existence), and similar information covering the period from the end of such person's last fiscal year, if the information is available. The statements may be prepared on either an individual basis, or, unless the Commissioner otherwise requires, on a consolidated basis if consolidated statements are prepared in the usual course of business. The annual financial statements of the applicant shall be accompanied by the certificate of an independent public accountant to the effect that such statements present fairly the financial position of the applicant and the results of its operations for the year then ended, in conformity with generally accepted accounting principles or with requirements of insurance or other accounting principles prescribed or permitted under law. If the applicant is an insurer which is actively engaged in the business of insurance, the financial statements need not be certified, provided they are based on the Annual Statement of the person filed with the insurance department of the person's domiciliary state and are in accordance with the requirements of insurance or other accounting principles prescribed or permitted under the law and regulations of such state. (c) File as exhibits copies of all tender offers for, requests or invitations for, tenders of, exchange offers for, and agreements to acquire or exchange any voting securities of the insurer and (if distributed) of additional soliciting material relating thereto, any proposed employment, consultation, advisory or management contracts concerning the insurer, annual reports to the stockholders of the insurer and the applicant for the last two fiscal years, and any additional documents or papers required by Form A or by 211 CMR 7.02(1) and (3).

4/11/14 211 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. 211 CMR: DIVISION OF INSURANCE

7.11: continued

(13) ITEM 13. SIGNATURE AND CERTIFICATION. Signature and certification required as follows:

SIGNATURE

Pursuant to the requirements of M.G.L. c. 175, § 206B and 211 CMR 7.05(1) has caused this application to be duly signed on its behalf in the City of and State of on the day of , 20 .

(SEAL) Name of Applicant

BY (Name) (Title)

Attest:

(Signature of Officer)

(Title)

CERTIFICATION

The undersigned deposes and says that (s)he has duly executed the attached application dated , 20 , for and on behalf of ; that he or she is the ______(Name of Applicant) (Title of Officer) of such company and that (s)he is authorized to file such instrument. Deponent further says that he or she is familiar with the instrument and the contents thereof, and that the facts therein set forth are true to the best of his or her knowledge, information and belief.

(Signature) ______

(Type or print name beneath) ______

7.12: Form B Instructions

FORM B

INSURANCE HOLDING COMPANY SYSTEM ANNUAL REGISTRATION STATEMENT

Filed with the Division of Insurance of the Commonwealth of Massachusetts

By

Name of Registrant

4/11/14 211 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. 211 CMR: DIVISION OF INSURANCE

7.12: continued

On Behalf of Following Insurance Companies

Name Address

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Date: , 20

Name, Title, Address and telephone number of Individual to Whom Notices and Correspondence Concerning This Statement Should Be Addressed:

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(1) ITEM 1. IDENTITY AND CONTROL OF REGISTRANT. Furnish the exact name of each insurer registering or being registered (hereinafter called "the Registrant"), the home office address and principal executive offices of each; the date on which each registrant became part of the insurance holding company system; and the method(s) by which control of each registrant was acquired and is maintained.

(2) ITEM 2. ORGANIZATIONAL CHART. Furnish a chart or listing clearly presenting the identities of and interrelationships among all affiliated persons within the insurance holding company system. No affiliate need be shown if its total assets are equal to less than ½ of 1% of the total assets of the ultimate controlling person within the insurance holding company system, unless it has assets valued at or exceeding $10 million. The chart or listing should show the percentage of each class of voting securities of each affiliate which is owned, directly or indirectly, by another affiliate. If control of any person within the system is maintained other than by the ownership or control of voting securities, indicate the basis of control. As to each person specified in the chart or listing indicate the type of organization (e.g., corporation, trust, partnership) and the state or other jurisdiction of domicile.

(3) ITEM 3. THE ULTIMATE CONTROLLING PERSON. As to the ultimate controlling person in the insurance holding company system furnish the following information: (a) Name; (b) Home office address; (c) Principal executive office address; (d) The organizational structure of the person, i.e., corporation, partnership, individual, trust, etc.; (e) The principal business of the person; (f) The name and address of any person who holds or owns 10% or more of any class of voting security, the class of such security, the number of shares held of record or known to be beneficially owned, and the percentage of class so held or owned; (g) If court proceedings involving a reorganization or liquidation are pending, indicate the title and location of the court, the nature of proceedings and the date when commenced.

4/11/14 211 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. 211 CMR: DIVISION OF INSURANCE

7.12: continued

(4) ITEM 4. BIOGRAPHICAL INFORMATION. Furnish the following information for the directors and executive officers of the ultimate controlling person: the individual's name and address, his or her principal occupation and all offices and positions held during the past five years, and any conviction of crimes other than minor traffic violations during the past ten years.

(5) ITEM 5. TRANSACTIONS AND AGREEMENTS. Briefly describe the following agreements in force, and transactions currently outstanding or which have occurred during the last calendar year between the registrant and its affiliates: (a) loans, other investments, or purchases, sales or exchanges of securities of the affiliates by the Registrant or of the Registrant by its affiliates; (b) Purchases, sales or exchanges of assets; (c) Transactions not in the ordinary course of business; (d) Guarantees or undertakings for the benefit of an affiliate which result in an actual contingent exposure of the Registrant's assets to liability, other than insurance contracts entered into in the ordinary course of the registrant's business; (e) All management agreements, service contracts and all cost-sharing arrangements; (f) Reinsurance agreements; (g) Dividends and other distributions to shareholders; (h) Consolidated tax allocation agreements; and (i) Any pledge of the registrant's stock and/or of the stock of any subsidiary or controlling affiliate, for a loan made to any member of the insurance holding company system. No information need be disclosed if such information is not material for purposes of M.G.L. c. 175, § 206C(b). Sales, purchases, exchanges, loans or extensions of credit, investments or guarantees involving ½ of 1% or less of the registrant's admitted assets as of the 31st day of December next preceding shall not be deemed material. The description shall be in a manner as to permit the proper evaluation thereof by the Commissioner, and shall include at least the following: the nature and purpose of the transaction, the nature and amounts of any payments or transfers of assets between the parties, the identity of all parties to the transaction, and relationship of the affiliated parties to the registrant.

(6) ITEM 6. LITIGATION OR ADMINISTRATIVE PROCEEDINGS. A brief description of any litigation or administrative proceedings of the following types, either then pending or concluded within the preceding fiscal year, to which the ultimate controlling person or any of its directors or executive officers was a party or of which the property of any such person is or was the subject; give the names of the parties and the court or agency in which the litigation or proceeding is or was pending: (a) Criminal prosecutions or administrative proceedings by any government agency or authority which may be relevant to the trustworthiness of any party thereto; and (b) Proceedings which may have a material effect upon the solvency or capital structure of the ultimate holding company including, but not necessarily limited to, bankruptcy, receivership or other corporate reorganizations.

(7) ITEM 7. STATEMENT REGARDING PLAN OR SERIES OF TRANSACTIONS. The insurer shall furnish a statement that transactions entered into since the filing of the prior year's annual registration statement are not part of a plan or series of like transactions, the purpose of which is to avoid statutory threshold amounts and the review that might otherwise occur.

(8) ITEM 8. FINANCIAL STATEMENTS AND EXHIBITS. (a) Financial statements and exhibits should be attached to this statement as an appendix, and listed under this item, unless incorporated herein by reference to such statements or exhibits already filed with the Commissioner. (b) The financial statements shall include the annual financial statements of the ultimate controlling person in the insurance holding company system as of the end of the person's latest fiscal year.

4/11/14 211 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. 211 CMR: DIVISION OF INSURANCE

7.12: continued

If at the time of the initial registration, the annual financial statements for the latest fiscal year are not available, annual statements for the previous fiscal year may be filed and similar financial information shall be filed for any subsequent period to the extent such information is available. Such financial statements may be prepared on either an individual basis; or, unless the Commissioner otherwise requires, on a consolidated basis if consolidated statements are prepared in the usual course of business. Unless the Commissioner otherwise permits, the annual financial statements shall be accompanied by the certificate of an independent public accountant to the effect that the statements present fairly the financial position of the ultimate controlling person and the results of its operations for the year then ended, in conformity with generally accepted accounting principles or with requirements of insurance or other accounting principles prescribed or permitted under law. If the ultimate controlling person is an insurer which is actively engaged in the business of insurance, the annual financial statements need not be certified, provided they are based on the Annual Statement of the insurer filed with the insurance department of the insurer's domiciliary state and are in accordance with requirements of insurance or other accounting principles prescribed or permitted under the law and regulations of that state. (c) Exhibits shall include copies of the latest annual reports to shareholders of the ultimate controlling person and proxy material used by the ultimate controlling person; and any additional documents or papers required by Form B or 211 CMR 7.02(1) and (3).

(9) ITEM 9. FORM C REQUIRED. A Form C, Summary of Registration Statement, must be prepared and filed with this Form B.

(10) ITEM 10. SIGNATURE AND CERTIFICATION. Signature and certification required as follows:

SIGNATURE

Pursuant to the requirements of M.G.L. c. 175, § 206C and 211 CMR 7.06(1), the Registrant has caused this annual registration statement to be duly signed on its behalf of the City of and State of on the day of , 20 .

(SEAL) Name of Registrant

BY (Name) (Title)

Attest:

______(Signature of Officer)

______(Title)

4/11/14 211 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. 211 CMR: DIVISION OF INSURANCE

7.12: continued

CERTIFICATION

The undersigned deposes and says that he or she has duly executed the attached annual registration statement dated , 20 , for and on behalf of ______; that (Name of Applicant he or she is the ______of such company and that he or she is authorized to (Title of Officer) execute and file such instrument. Deponent further says that he or she is familiar with such instrument and the contents thereof, and that the facts therein set forth are true to the best of his/her knowledge, information and belief.

(Signature) ______

(Type or print name beneath) ______

7.13: Form C Instructions

FORM C

SUMMARY OF REGISTRATION STATEMENT

Filed with the Division of Insurance of the Commonwealth of Massachusetts

By ______Name of Registrant

On Behalf of Following Insurance Companies

Name Address

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Date: , 20

Name, Title, Address and telephone number of Individual to Whom Notices and Correspondence Concerning This Statement Should Be Addressed:

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Furnish a brief description of all items in the current annual registration statement which represent changes from the prior year's annual registration statement. The description shall be in a manner as to permit the proper evaluation thereof by the Commissioner, and shall include specific references to Item numbers in the annual registration statement and to the terms contained therein. Changes occurring under Item 2 of Form B insofar as changes in the percentage of each class of voting securities held by each affiliate is concerned, need only be included where such changes are ones which result in ownership or holdings of 10% or more of voting securities, loss or transfer of control, or acquisition or loss of partnership interest.

4/11/14 211 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. 211 CMR: DIVISION OF INSURANCE

7.13: continued

Changes occurring under Item 4 of Form B need only be included where an individual is, for the first time, made a director or executive officer of the ultimate controlling person; a director or executive officer terminates his or her responsibilities with the ultimate controlling person; or in the event an individual is named president of the ultimate controlling person. If a transaction disclosed on the prior year's annual registration statement has been changed, the nature of such change shall be included. If a transaction disclosed on the prior year's annual registration statement has been effectuated, furnish the mode of completion and any flow of funds between affiliates resulting from the transaction. The insurer shall furnish a statement that transactions entered into since the filing of the prior year's annual registration statement are not part of a plan or series of like transactions whose purpose it is to avoid statutory threshold amounts and the review that might otherwise occur.

SIGNATURE AND CERTIFICATION

Signature and certification required as follows:

______SIGNATURE

Pursuant to the requirements of M.G.L. c. 175, § 206C and 211 CMR 7.06(2), the Re- gistrant has caused this annual registration statement to be duly signed on its behalf in the City of and State of on the day of , 20 .

(SEAL) Name of Applicant

BY (Name) (Title)

Attest:

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CERTIFICATION

The undersigned deposes and says that he or she has duly executed the attached annual registration statement dated , 20 , for and on behalf of ______; (Name of Company) that he or she is the of such company and that (s)he is authorized to (Title of Officer) such execute and file instrument. Deponent further says that he or she is familiar with such instrument and the contents thereof, and that the facts therein set forth are true to the best of his/her knowledge, information and belief.

(Signature) ______

(Type or print name beneath) ______

4/11/14 211 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. 211 CMR: DIVISION OF INSURANCE

7.14: Form D Instructions

FORM D

PRIOR NOTICE OF A TRANSACTION

Filed with the Division of Insurance of the Commonwealth of Massachusetts

By

Name of Registrant

On Behalf of Following Insurance Companies

Name Address

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Date: , 20

Name, Title, Address and telephone number of Individual to Whom Notices and Correspondence Concerning This Statement Should Be Addressed:

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(1) ITEM 1. IDENTITY OF PARTIES TO TRANSACTION. Furnish the following information for each of the parties to the transaction: (a) Name. (b) Home office address. (c) Principal executive office address. (d) The organizational structure, i.e. corporation, partnership, individual, trust, etc. (e) A description of the nature of the parties' business operations. (f) Relationship, if any, of other parties to the transaction to the insurer filing the notice, including any ownership or debtor/creditor interest by any other parties to the transaction in the insurer seeking approval, or by the insurer filing the notice in the affiliated parties. (g) Where the transaction is with a non-affiliate, the name(s) of the affiliate(s) which will receive, in whole or in substantial part, the proceeds of the transaction.

(2) ITEM 2. DESCRIPTION OF THE TRANSACTION. Furnish the following information for each transaction for which notice is being given: (a) A statement as to whether notice is being given under M.G.L. c. 175, § 206C(n). (b) A statement of the nature of the transaction; and (c) The proposed effective date of the transaction.

4/11/14 211 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. 211 CMR: DIVISION OF INSURANCE

7.14: continued

(3) ITEM 3. SALES, PURCHASES, EXCHANGES, LOANS, EXTENSIONS OF CREDIT, GUARANTEES OR INVESTMENTS. Furnish a brief description of the amount and source of funds, securities, property or other consideration for the sale, purchase, exchange, loan, extension of credit, guarantee, or investment, whether any provision exists for purchase by the insurer filing notice, by any party to the transaction, or by any affiliate of the insurer filing notice, a description of the terms of any securities being received, if any, and a description of any other agreements relating to the transaction such as contracts or agreements for services, consulting agreements and the like. If the transaction involves other than cash, furnish a description of the consideration, its cost and its fair market value, together with an explanation of the basis for evaluation. If the transaction involves a loan, extension of credit or a guarantee, furnish a description of the maximum amount which the insurer will be obligated to make available under such loan, extension of credit or guarantee, the date on which the credit or guarantee will terminate, and any provisions for the accrual of or deferral of interest. If the transaction involves an investment, guarantee or other arrangement, state the time period during which the investment, guarantee or other arrangement will remain in effect, together with any provisions for extensions or renewals of such investments, guarantees or arrangements. Furnish a brief statement as to the effect of the transaction upon the insurer's surplus. No notice need be given if the maximum amount which can at any time be outstanding or for which the insurer can be legally obligated under the loan, extension of credit or guarantee is less than (a) in the case of non-life insurers, the lesser of 3% of the insurer's admitted assets or 25% of surplus as regards policyholders, or (b) in the case of life insurers, 3% of the insurer's admitted assets, each as of the 31st day of December next preceding.

(4) ITEM 4. LOANS OR EXTENSIONS OF CREDIT TO A NON-AFFILIATE. If the transaction involves a loan or extension of credit to any person who is not an affiliate, furnish a brief description of the agreement or understanding whereby the proceeds of the proposed transaction, in whole or in substantial part, are to be used to make loans or extensions of credit to, to purchase the assets of, or to make investments in, any affiliate of the insurer making such loans or extensions of credit, and specify in what manner the proceeds are to be used to loan to, extend credit to, purchase assets of or make investments in any affiliate. Describe the amount and source of duns, securities, property or other consideration for the loan or extension of credit and, if the transaction is one involving consideration other than cash, a description of its cost and its fair market value together with an explanation of the basis for evaluation. Furnish a brief statement as to the effect of the transaction upon the insurer's surplus. No notice need be given if the loan or extension of credit is one which equals less than, in the case of non-life insurers, the lesser of 3% of the insurer's admitted assets or 25% of surplus as regards policyholders or, with respect to life insurers, 3% of the insurer's admitted assets, each as of the 31st day of December next preceding.

(5) ITEM 5. REINSURANCE. If the transaction is a reinsurance agreement or modification thereto, as described by M.G.L. c. 175, § 206C(n)(3), furnish a description of the known and/or estimated amount of liability to be ceded and/or assumed in each calendar year, the period of time during which the agreement will be in effect, and a statement whether an agreement or understanding exists between the insurer and non-affiliate to the effect that any portion of the assets constituting the consideration for the agreement will be transferred to one or more of the insurer's affiliates. Furnish a brief description of the consideration involved in the transaction, and a brief statement as to the effect of the transaction upon the insurer's surplus. No notice need be given for reinsurance agreements or modifications thereto if the reinsurance premium or a change in the insurer's liabilities in connection with the reinsurance agreement or modification thereto does not equal or exceed the lesser of 3% of the insurer's admitted assets or 25% of the insurer's surplus as regards policyholders, as of the 31st day of December next preceding.

4/11/14 211 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. 211 CMR: DIVISION OF INSURANCE

7.14: continued

(6) ITEM 6. MANAGEMENT AGREEMENTS, SERVICE AGREEMENTS AND COST- SHARING ARRANGEMENTS. For all management agreements and service contracts, and all cost sharing arrangements which are not based upon generally accepted accounting principles pertaining to cost allocation, and all cost sharing arrangements the transactions under which would be reported as transactions between affiliates on the insurer's annual statement, furnish: (a) A brief description of the managerial responsibilities, or services to be performed; (b) A brief description of the agreement, including a statement of its duration, together with brief descriptions of the basis for compensation and the terms under which payment or compensation is to be made. (c) A brief description of each party's expenses or costs covered by the agreement; (d) A brief description of the accounting basis to be used in calculating each party's costs under the agreement.

(7) ITEM 7. SIGNATURE AND CERTIFICATION. Signature and certification required as follows: ______SIGNATURE

Pursuant to the requirements of M.G.L. c. 175, § 206C(n) and 211 CMR 7.07 has caused this application to be duly signed on its behalf in the City of and State of on the day of , 20 .

(SEAL) Name of Applicant

By (Name) (Title)

Attest:

(Signature of Officer)

(Title)

CERTIFICATION

The undersigned deposes and says that he or she has duly executed the attached application dated , 20 , for and on behalf of ; that he or she is the (Name of Applicant) of such company and that he or she is authorized to execute and file such (Title of Officer) instrument. Deponent further says that he or she is familiar with such instrument and the contents thereof, and that the facts therein set forth are true to the best of his/her knowledge, information and belief.

(Signature) ______

(Type or print name beneath) ______

4/11/14 211 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. 211 CMR: DIVISION OF INSURANCE

7.15: Form F Instructions

FORM F

ENTERPRISE RISK REPORT Filed with the Division of Insurance of the Commonwealth of Massachusetts

By

______Name of Registrant/Applicant

On Behalf of/Related to Following Insurance Companies Name Address

______

______

______

Date:______, 20_____

Name, Title, Address and telephone number of Individual to Whom Notices and Correspondence Concerning This Statement Should Be Addressed:

______

______

______

ITEM 1. ENTERPRISE RISK

The Registrant/Applicant shall furnish the following information regarding the areas that could produce enterprise risk, provided such information is not disclosed in the Insurance Holding Company System

Annual Registration Statement filed on behalf of itself or another insurer for which it is the ultimate controlling person:

(a) Any material developments regarding strategy, internal audit findings, compliance or risk manage- ment affecting the insurance holding company system;

(b) Acquisition or disposal of insurance entities and reallocating of existing financial or insurance entities within the insurance holding company system;

(c) Any changes of shareholders of the insurance holding company system exceeding ten percent or more of voting securities;

(d) Developments in ongoing investigations, regulatory activities or litigation that may have a significant bearing or impact on the insurance holding company system;

(e) Business plan of the insurance holding company system and summarized strategies for the next 12 months;

(f) Identification of material concerns of the insurance holding company system raised by supervisory college, if any, in last year;

(g) Identification of insurance holding company system capital resources and material distribution patterns;

4/11/14 211 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. 211 CMR: DIVISION OF INSURANCE

7.15: continued

(h) Identification of any negative movement, or discussions with rating agencies which may have caused, or may cause, potential negative movement in the credit ratings and individual insurer financial strength ratings assessment of the insurance holding company system (including both the rating score and outlook);

(i) Information on corporate or parental guarantees throughout the holding company and the expected source of liquidity should such guarantees be called upon; and

(j) Identification of any material activity or development of the insurance holding company system that, in the opinion of senior management, could adversely affect the insurance holding company system.

The Registrant/Applicant may attach the appropriate form most recently filed with the U.S. Securities and Exchange Commission, provided the Registrant/Applicant includes specific references to those areas listed in Item 1 for which the form provides responsive information. If the Registrant/Applicant is not domiciled in the U.S., it may attach its most recent public audited financial statement filed in its country of domicile, provided the Registrant/Applicant includes specific references to those areas listed in Item 1 for which the financial statement provides responsive information.

ITEM 2: OBLIGATION TO REPORT

If the Registrant/Applicant has not disclosed any information pursuant to Item 1, the Registrant/Applicant shall include a statement affirming that, to the best of its knowledge and belief, it has not identified enterprise risk subject to disclosure pursuant to Item 1.

REGULATORY AUTHORITY

211 CMR 7.00: M.G.L. c. 175, § 206C.

4/11/14 211 CMR - 58.1 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

4/11/14 211 CMR - 58.2 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. Docket # 466

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 321 CMR 3.00

CHAPTER TITLE: Hunting

AGENCY: Division of Fisheries & Wildlife

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. 321 CMR 3.05 establishes the rules for taking amphibians in the Commonwealth, including snapping turtles.

REGULATORY AUTHORITY: G.L. c. 131 §§ 5, 11, 25, 26, 52, and 52A

AGENCY CONTACT: Jack Buckley PHONE: 617 626 1572

ADDRESS: 251 Causeway Street, 4th Floor, 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. EOEEA and the Governor's Office stated that they have no objection to this regulatory change on 3/24/14.

PUBLIC REVIEW - M.G.L. c. 30A sections 2 and/or 3 requires notice of the hearing or comment period, including a small business impact statement, 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: 12/17/2013

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 101 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: Fiscal effects should be minimal as there are only four commercial turtle harvest licenses. For the first five years:

No fiscal effect:

SMALL BUSINESS IMPACT - M.G.L. c. 30A section 5 requires each agency to file an amended small business impact statement with the Secretary of the Commonwealth prior to the adoption of a proposed regulation. If the purpose of this regulation is to set rates for the state, this section does not apply.

Date amended small business impact statement was filed: 3/24/2014

CODE OF MASSACHUSETTS REGULATIONS INDEX - List key subjects that are relevant to this regulation: taking of snapping turtles taking of amphibians commercial turtle harvest personal turtle harvest

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: 321 CMR 3.05: DFW’s proposed changes would eliminate the harvest of wild snapping turtles for commercial purposes and further limit their harvest for personal use.

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: Mar 25 2014

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1258 DATE: 04/11/2014

EFFECTIVE DATE: 04/11/2014

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: 1, 2 1, 2 65 - 68 65 - 68

03/26/2014 cm

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 102 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 321 CMR: DIVISION OF FISHERIES AND WILDLIFE

Table of Contents Page

(321 CMR 1.00: RESERVED) 3

321 CMR 2.00: MISCELLANEOUS REGULATIONS RELATING TO FISHERIES AND WILDLIFE 5

Section 2.01: Retriever or Bird Dog Trials in Massachusetts 5 Section 2.02: Permits to Take or Possess 7 Section 2.03: Possession and Use of Shotgun Shells Loaded with Lettered Birdshot 9 Section 2.04: Salvage, Disposition and Possession of Deer Killed by Means Other than by Sport Hunting 9 Section 2.05: Commercial Shooting Preserves 11 Section 2.06: Classes of Hunting, Fishing, and Trapping Licenses 12.3 Section 2.07: Possession, Sale, and Use of Ferrets 12.7 Section 2.08: Use of Certain Traps for the Taking of Fur-Bearing Mammals 12.9 Section 2.09: Trapping of Birds by Farmers 12.15 Section 2.10: Issuance of Permits to Expose Poisons for the Control of Mammal and Bird Species Not Protected by Federal or State Statutes 12.15 Section 2.11: Display of Sporting, Hunting, Fishing, and Trapping Licenses 13 Section 2.12: Artificial Propagation of Birds, Mammals, Reptiles and Amphibians 13 Section 2.13: Wildlife Rehabilitation 20 Section 2.14: Problem Animal Control 26 Section 2.15: Importation, Liberation, and Transportation of Fish, Amphibians, Reptiles, Birds, and Mammals 32.2

321 CMR 3.00: HUNTING 33

Section 3.01: Hunting, Generally 33 Section 3.02: Hunting, Particular Game 36.1 Section 3.03: Hunting in Certain Areas 55 Section 3.04: Falcons, Other Raptors, and Falconry 59 Section 3.05: Hunting, Fishing, Trapping and Taking of Reptiles and Amphibians in All the Counties of the Commonwealth 66

321 CMR 4.00: FISHING 69

Section 4.01: Taking of Certain Fish 69 Section 4.02: Taking of Carp and Suckers for the Purpose of Sale 75 Section 4.03: Taking of Eels From Inland Waters 75 Section 4.04: Taking of Fish in Interstate Ponds Lying Between Massachusetts and New Hampshire 75 Section 4.05: Taking of Fish in Interstate Ponds Lying Between Massachusetts and Connecticut 75 Section 4.06: Taking of Fish in Interstate Ponds Lying Between Massachusetts and Rhode Island 75 Section 4.09: Propagation, Culture, Maintenance and Sale of Protected Freshwater Fish 75

(321 CMR 5.00: RESERVED) 79

321 CMR 6.00: DOG RESTRAINING ORDER 81

Section 6.01: Dog Restraining Order in Certain Counties 81

321 CMR 7.00: WILDLIFE SANCTUARIES 83

321 CMR 8.00: ENDANGERED WILDLIFE AND WILD PLANTS 85

Section 8.01: State List of Endangered Wildlife and Wild Plants 85

4/11/14 321 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. 321 CMR: DIVISION OF FISHERIES AND WILDLIFE

Table of Contents Page

321 CMR 9.00: EXOTIC WILDLIFE 87

Section 9.01: Exemption List 87 Section 9.02: List of Domestic Animals 91

321 CMR 10.00: MASSACHUSETTS ENDANGERED SPECIES ACT REGULATIONS 93

PART I: GENERAL PROVISIONS: DEFINITIONS, LISTING, TAKING PERMITS, RESPONSIBILITIES OF STATE AGENCIES

Section 10.01: Introduction and Purpose 94 Section 10.02: Definitions and Abbreviations 94 Section 10.03: Listing of Species 99 Section 10.04: Taking and Possession of Species on State and Federal Lists 101 Section 10.05: Responsibilities of State Agencies 102 Section 10.06: Penalties 104 Section 10.07: Addresses 104

PART II: DELINEATION OF PRIORITY HABITAT AND REVIEW OF PROJECTS OR ACTIVITIES WITHIN PRIORITY HABITAT

Section 10.11: Introduction 104 Section 10.12: Delineation of Priority Habitat of State-listed Species 104 Section 10.13: Sites or Projects not in Priority Habitat 106 Section 10.14: Exemptions from Review for Projects or Activities in Priority Habitat 109 Section 10.15: Emergencies 111 Section 10.16: Project Segmentation and the Availability of Comprehensive MESA Reviews and Permits for Certain Municipalities 111 Section 10.17: Requests for State-listed Species Information 112 Section 10.18: Review of Projects or Activities for Take of State-listed Species in Priority Habitat 112 Section 10.19: Performance Standard for Avoidance of Take of State-listed Species 112.1 Section 10.20: Project Filing Requirements 112.2 Section 10.21: Denial and Appeal 112.2 Section 10.22: Extension of a Determination 112.2 Section 10.23: Conservation and Management Permit 112.3 Section 10.24: Effective Date 112.6 Section 10.25: Appeal Process 112.6 Section 10.26: Conservation Planning for State-listed Species of Special Concern 112.7

PART III: DESIGNATION OF SIGNIFICANT HABITAT

Section 10.30: Designation of Significant Habitat 112.8 Section 10.31: Designation Proposal 112.8 Section 10.32: Notice and Public Hearing 112.8 Section 10.33: Review of Proposed Designation 113 Section 10.34: Director's Finding and Designation 114 Section 10.35: Filing of Designation Regulation and Effective Date 114 Section 10.36: Distribution of and Availability of Designation Document 114 Section 10.37: Recording of Designation 115 Section 10.38: Appeals of Significant Habitat Designations 115 Section 10.39: Petition to Purchase Significant Habitat 115 Section 10.40: Review and Revision of Significant Habitat Designations 115

PART IV: ALTERATION OF SIGNIFICANT HABITAT

Section 10.60: Introduction 115 Section 10.61: Activities Within Significant Habitat 116 Section 10.62: Activities Exempt from the Requirement for an Alteration Permit 116 Section 10.63: Categorical Alterations and Non-alterations 118

1/3/14 321 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. 321 CMR: DIVISION OF FISHERIES AND WILDLIFE

3.04: continued

(c) A permittee may trade or transfer a raptor to another permittee if the transaction occurs entirely within the state and no money or other consideration is involved. A permittee may trade or transfer a raptor to another permittee in an interstate transaction if the prior written approval of the Director is obtained and no money or other consideration is involved in the transaction. Transactions involving money or other considerations shall be conducted in accordance with 321 CMR 3.04(17). (d) Unless otherwise prohibited by the foregoing provisions of 321 CMR 3.04 or unless prohibited by provisions of the Code of Federal Regulations (50 CFR 13, 17, 21), persons holding a current Raptor Propagation permit may sell, exchange, or barter, or offer for sale, exchange, or barter, or may purchase all native or exotic captive-bred raptors in accordance with the provisions of 321 CMR 3.04(17). (e) In accordance with the provisions of M.G.L. c. 131, § 57, nothing in 321 CMR 3.04 shall be construed to prohibit on Sunday the training of raptors on protected birds nor the exercising of such raptors as regulated by the director. (f) The director may authorize a permittee to exceed the taking limitation in 321 CMR 3.04(6)(e) for raptor propagation purposes provided the permittee holds both a Federal special purpose permit (50 CFR 21.27) and a Massachusetts special purpose permit (M.G.L. c. 131, § 4(2)) authorizing the taking of additional birds. (g) Nothing in 321 CMR 3.04 shall be construed to prohibit the conduct of a field trial with such raptors; provided however that a permit to do so is first obtained from the director. Such field trials shall be conducted in accordance with such rules as the director may prescribe. The director is hereby authorized to establish such rules. 1. Upon application to the director by an incorporated or unincorporated organization having membership consisting of at least ten citizens who have been residents of the Commonwealth for at least six months immediately prior to making application, and upon payment of a fee of $15.00 by the applicant, the director may issue a license to such club or organization to hold a field trial under the rules and regulations of the Division of Fisheries and Wildlife for the sport of falconry at the time and place stated in the license. The license shall authorize members of the licensee to take by means of falconry such legal game as provided by 321 CMR 3.04(10). The license shall be valid only during daylight hours and the written consent of the owner of, or the person having legal control of, the land on which such field trial is held shall first be obtained. Out-of-state persons participating in any such field trial pursuant to the provisions of 321 CMR 3.04(16)(g)1. shall not be required to secure hunting or sporting licenses provided they hold a valid hunting license from their state of origin. 2. 321 CMR 3.04 shall become effective January 1, 1979 and shall remain in effect until amended or revoked.

(17) Sale, Exchange, and Barter of Captive-bred Raptors. (a) A person holding a current General or Master Falconry Permit or Raptor Propagation permit may transfer, purchase, sell, barter, or exchange for a consideration any lawfully possessed raptor which is bred in captivity, subject to the following additional conditions: (b) The person who receives any raptor by transfer, purchase, sale, barter, or exchange must be authorized to possess it under the aforestated provisions of 321 CMR 3.04 and under any other applicable provisions of M.G.L. c. 131 or, if domiciled or resident in a foreign country and the raptor is to be transferred thereto, must be authorized to receive it by the appropriate wildlife management authority of his or her country of domicile or residence after the competent wildlife management authority of that country has certified in writing that the recipient is an experienced falconer or raptor propagator who is required by the laws of that country to maintain any raptors in his or her possession under conditions that are comparable to the conditions under which a permittee must maintain raptors pursuant to provisions of 321 CMR 3.04. (c) The permittee who transfers, purchases, sells, barters, or exchanges any raptor must have acquired the raptor from a person authorized to possess and sell, exchange, or barter it, and, if acquired from a person in the United States, such person must additionally be authorized to possess and sell, exchange, or barter it pursuant to provisions of 321 CMR 3.04 and to any other relevant provisions of M.G.L. c. 131 and to provisions of the Code of Federal Regulations (50 CFR 13, 17, and 21).

7/20/12 321 CMR - 65 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 321 CMR: DIVISION OF FISHERIES AND WILDLIFE

3.04: continued

(d) In addition to a current Raptor Propagation permit, a permittee who transfers, purchases, sells, barters, or exchanges any raptor, except as provided in 321 CMR 3.04(16)(c), must additionally hold a current Class 4 propagator's license as provided by M.G L. c. 131, § 23. (e) No raptor may be traded, transferred, purchased, sold, exchanged, or bartered until such raptor is two weeks of age or older and only after such raptor is banded with a numbered nonreuseable marker provided or authorized by the U.S. Fish and Wildlife Service, unless the raptor is traded, transferred, sold, exchanged, or bartered to a State or Federal wildlife management agency for conservation purposes. Markers shall be of the type and design stipulated by the U.S. Fish and Wildlife Service as appropriate for the species and origin of raptor being so marked. When a raptor is marked with more than one marker, all but one marker shall be removed before the raptor attains five weeks of age and the marker(s) so removed shall be returned to the U.S. Fish and Wildlife Service. Marking of captive-bred raptors shall be reported to the U.S. Fish and Wildlife Service within five days of the marking, and the report thereof shall contain such information as may be required by the Director of the U.S. Fish and Wildlife Service. (f) Permittees may transfer, purchase, sell, barter, or exchange for a consideration the semen of captive bred raptors when in compliance with other provisions of 321 CMR 3.04(17) and of 321 CMR 3.04 generally. (g) Permittees shall not transfer, purchase, sell, barter, or exchange any raptor eggs, any raptor semen collected from the wild, or any raptors hatched from eggs taken from the wild, or any raptors captured from the wild. (h) Permittees shall maintain complete and accurate records of all transactions conducted under 321 CMR 3.04(17), including the name, address, and permit number of the purchaser, barterer, or transferee; the day, month, and year of the transaction or disposition; the sale price or other consideration involved in the transaction or disposition; the species, sex, age, origin, and pedigree (lineage) of the raptor or raptors involved; the quantity and origin of raptor semen involved; the marker number or numbers of the raptor or raptors involved; and any other information which may be required of a Raptor Propagation permittee under provisions of 50 CFR 21.30. Records shall be kept on U.S. Fish and Wildlife Service breeding record forms or on such other forms as shall be approved by the director. (i) Permittees shall adhere to and abide by the species and possession limits established by 321 CMR 3.04(6), unless otherwise authorized pursuant to 321 CMR 3.04(16)(e).

3.05: Hunting, Fishing, Trapping and Taking of Reptiles and Amphibians in All the Counties of the Commonwealth

(1) No person shall disturb or harass or, except as authorized in a special educational, scientific, or conservation and management permit from the Director, shall take by any means any species of amphibian or reptile listed as endangered, threatened, or special concern in 321 CMR 10.90: List of Endangered, Threatened, and Special Concern Species, or any of the following species or their eggs or young: (a) Spotted salamander (Ambystoma maculatum) (b) Four-toed salamander (Hemidactylium scutatum) (c) Spring salamander (Gyrinophilus porphyriticus) (d) Northern leopard frog (Lithobates pipiens) (e) Spotted turtle (Clemmys guttata) (f) Eastern hognosed snake (Heterodon platirhinos)

(2) Except as provided in 321 CMR 3.05(3) through (6), all species of amphibians and reptiles found in Massachusetts and not listed as endangered, threatened, or special concern in 321 CMR 10.90: List of Endangered, Threatened, and Special Concern Species, or not listed as protected in 321 CMR 3.05(1) may be taken by hand, or hand-held dip net, from January 1st to the following December 31st, both dates inclusive, up to a possession limit of two.

(3) American bullfrogs (Lithobates catesbeiana) and green frogs (Lithobates clamitans) may be hunted or taken from July 16th to September 30th. Not more than 12 frogs, singly or in the aggregate, of these two species may be taken daily or more than 24 in possession for personal use.

4/11/14 321 CMR - 66 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 321 CMR: DIVISION OF FISHERIES AND WILDLIFE

3.05: continued

(4) American bullfrogs, green frogs, pickerel frogs (Lithobates palustris) and wood frogs (Lithobates sylvaticus) that measure less than 2½ inches from the snout to the vent may be taken for bait by licensed fishermen. Not more than ten per day or in possession may be taken.

(5) Common snapping turtles (Chelydra serpentine) that measure at least 12 inches in straight- line carapace length may be taken by hand, dip net or gaff, up to a limit of two per day, or in possession for personal use by licensed fishermen of two per day. Snapping turtles may not be taken from May 1st to July 16th.

(6) No reptile or amphibian may be taken from the wild in Massachusetts for purposes of sale. No reptile or amphibian may be taken with a firearm.

REGULATORY AUTHORITY

321 CMR 3.00: M.G.L. c. 131, § 5.

4/11/14 321 CMR - 67 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 321 CMR: DIVISION OF FISHERIES AND WILDLIFE

NON-TEXT PAGE

12/1/93 321 CMR - 68 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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 # 467

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 321 CMR 4.00

CHAPTER TITLE: Fishing

AGENCY: Division of Fisheries & Wildlife

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. 321 CMR 4.01-4.03 and 4.09 establishes the rules for harvest, possession and sale of certain inland fish species in the Commonwealth.

REGULATORY AUTHORITY: G.L. c. 131 §§ 5, 11, 25, 26, 52, and 52A

AGENCY CONTACT: Jack Buckley PHONE: 617 626 1572

ADDRESS: 251 Causeway Street, 4th Floor, 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. EOEEA and the Governor's Office stated that they have no objection to this regulatory change on 3/24/14.

PUBLIC REVIEW - M.G.L. c. 30A sections 2 and/or 3 requires notice of the hearing or comment period, including a small business impact statement, 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: 12/17/2013

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 103 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: Fiscal effects on the private sector should be minor as baitfish dealers can still sell baitfish, just not baitfish harvested from the wild. For the first five years:

No fiscal effect:

SMALL BUSINESS IMPACT - M.G.L. c. 30A section 5 requires each agency to file an amended small business impact statement with the Secretary of the Commonwealth prior to the adoption of a proposed regulation. If the purpose of this regulation is to set rates for the state, this section does not apply.

Date amended small business impact statement was filed: 3/24/2014

CODE OF MASSACHUSETTS REGULATIONS INDEX - List key subjects that are relevant to this regulation: baitfish protected freshwater fish taking of fish American Eel

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: Revisions to 321 CMR 4.01-4.03, 4.09 eliminates the commercial license for harvest of baitfish; amends the list of commercial and personal baitfish; and provide definitions of “injurious fish,” “transgenic fish,’ “baitfish’ and “commercial baitfish.”

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: Mar 25 2014

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1258 DATE: 04/11/2014

EFFECTIVE DATE: 04/11/2014

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: 69 - 78.8 69 - 78.6

03/26/2014 cm

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 104 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 321 CMR: DIVISION OF FISHERIES AND WILDLIFE

321 CMR 4.00: FISHING

Section

4.01: Taking of Certain Fish 4.02: Taking of Carp and Suckers for the Purpose of Sale 4.03: Taking of Eels From Inland Waters 4.04: Taking of Fish in Interstate Ponds Lying Between Massachusetts and New Hampshire 4.05: Taking of Fish in Interstate Ponds Lying Between Massachusetts and Connecticut 4.06: Taking of Fish in Interstate Ponds Lying Between Massachusetts and Rhode Island 4.09: Propagation, Culture, Maintenance and Sale of Protected Freshwater Fish

4.01: Taking of Certain Fish

In accordance with the authority vested in me by the provisions of M.G.L. c. 131, §§ 4, 5 and 51, I hereby declare an open season for the taking of fish throughout Massachusetts and promulgate the following rules and regulations relating to their taking as hereinafter provided:

(1) Definitions: For the purposes of 321 CMR 4.01, the following words or phrases shall have the following meanings:

Broodstock Salmon means an Atlantic salmon (Salmo salar) that has been reared in a hatchery for purposes of spawning and subsequently released into the wild.

Dealer means a person who commercially handles fish, birds, or mammals protected by M.G.L. c. 131 and who is licensed as a Class 6 dealer pursuant to M.G.L. c. 131, § 23.

Director means the Director of the Division of Fisheries and Wildlife or his authorized agent.

Float means any device, including a toggle, floating with a line and hook attached, baited with natural or artificial bait and not under the direct control of the hand of the person fishing.

Hook means an angling device which is attached to a fishing line and which is designed to take one fish at a time, including, but not limited to, devices commonly called spinners, spoons, bait harnesses, lead head jigs, or plugs, the purpose of which is to capture the fish by enticing it to take the device into its mouth, thereby engaging the fish upon it.

Lead Jig means any lead-weighted hook which has a mass of less than one ounce.

Lead Sinker or Lead Weight means any sinker or weight made from lead and which has a mass of less than one ounce. The term lead sinker shall not include any other sinkers, weights, fishing lures or fishing tackle including, but not limited to, artificial lures, hooks, weighted flies, and lead-core or other weighted fishing lines.

Licensed Fisherman means an angler who possesses a current valid Massachusetts fishing or sporting license in any of the following classes: F1, F2, F3, F4, F6, F7, F8, F9, S1, S2, or S3.

Minimum Legal Length in Inches means the greatest length in inches measured from the anterior extremity of the snout with the mouth closed to the posterior extremity of the tail with the lobes compressed when the fish is flat and fully extended.

Resident Licensed Fisherman means an angler who possesses a current valid Massachusetts fishing or sporting license in any of the following classes: F1, F2, F3, F4, F8, S1, S2, or S3.

Sell, in all its moods and tenses, means purchasing, selling, bartering, exchanging, and taking, offering, or exposing for the purpose of purchase, sale, barter, or exchange.

Snagging means the taking of fish, not attracted by bait or artificial lures, with hooks, gangs or lures either baited or unbaited, in a manner so as to pierce and hook a fish in any part of the body other than the mouth.

4/11/14 321 CMR - 69 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 321 CMR: DIVISION OF FISHERIES AND WILDLIFE

4.01: continued

Tiger Muskellunge means a sterile cross between a northern pike and a muskellunge.

Tiger Trout means a cross between a female brown trout and a male brook trout.

Transgenic Fish means any fish that possesses a new or unique combination of genetic material obtained through the use of biotechnological means. This definition does not include diploid, triploid, or hybrid-crossed fish

Words importing the singular number may extend and be applied to several persons or things, words importing the plural number may include the singular, and words importing the masculine gender may include the feminine and neuter.

(2) Catch and Release Areas. (a) The following general requirements shall pertain to all catch-and-release fishing areas. All fish caught must be released. Fishing allowed with artificial lures only. The use of natural or artificial baits such as worms, shiners or other live bait, cheese, corn, or salmon or other fish eggs is prohibited. Fish in possession in any catch-and-release area is prima facie evidence of a violation of 321 CMR 4.01(2). Catch-and-release fishing areas are named in 321 CMR 4.01(2)(b) through (j). (b) East Branch : extending from the Chesterfield Gorge parking lot in the Town of Chesterfield downstream six miles to the gate north of the Corps of Engineers basin parking lot at Knightville in the Town of Huntington. (c) : Bears Den Segment, extending from a railroad bridge in the Towns of Athol and Templeton downstream 6½ miles to the first dam in the Town of Athol. Wendell Segment, extending from the Wendell Road bridge in the Towns of Orange and Wendell downstream 1½ miles to a breached dam in the Towns of Erving and Wendell. (d) : in the Town of Pepperell, extending from the New Hampshire border downstream to the Prescott Street bridge. In addition to the provisions of 321 CMR 4.01(2)(a), fly fishing only is permitted on the Nissitissit River catch-and-release area. All anglers must use a conventional fly rod and fly line. (e) : extending from Johns Pond in the Town of Mashpee downstream 4½ miles to the sign 0.1 miles south of Rte. 28 in the Town of Falmouth. (f) Red Brook: from White Island Pond in the Town of Plymouth downstream 4½ miles to Buttermilk Bay in the Town of Wareham. (g) Swift River: From the Winsor Dam to the Rte. 9 bridge crossing. In addition to the provisions of 321 CMR 4.01(2)(a), fly fishing only is permitted on the Swift River between Winsor Dam and the Rte. 9 crossing. All anglers must use a conventional fly rod and fly line. (h) Swift River: From the Rte. 9 bridge crossing downstream to Cady Lane. Catch-and- release fishing is mandated during the period from July 1st through December 31st only. (i) Upper : Segment 1, extending from Fife Brook Dam downstream 1½ miles to the Hoosac Tunnel railroad trestle. Segment 2, extending from the mouth of Pelham Brook downstream one mile to the Mohawk Campground. (j) : from the Rte. 20 bridge in Lee downstream to the Willow Mill Dam in Lee, and, from the Glendale Dam in Great Barrington downstream to the Boston and Maine railroad bridge in Great Barrington.

(3) Reservoirs under the Control of the Department of Conservation and Recreation. Quabbin Reservoir and that portion of its tributary streams within the Quabbin Reservation, Wachusett Reservoir, and Sudbury Reservoir are hereby closed to all fishing except during the open season for access as established by the Department of Conservation and Recreation.

(4) Prohibitions: Except as otherwise provided for in M.G.L. c. 131 and 321 CMR, it shall be unlawful: (a) to fish in the in the area downstream from the Essex Dam to the Boston and Maine Railroad Bridge; (b) to fish in the canal systems in the Cities of Lawrence and Lowell during the month of April; (c) to take fish in the inland waters of Massachusetts by snagging; (d) to take fish in the inland waters of Massachusetts by poison, explosive, float or toggle;

4/11/14 321 CMR - 70 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 321 CMR: DIVISION OF FISHERIES AND WILDLIFE

4.01: continued

(e) to take fish in the inland waters of Massachusetts by any means other than angling, except that carp and suckers may be taken by spears or archery; (f) to take fish in the inland waters of Massachusetts by net, seine, trawl, or similar device, except for the taking of bait fish pursuant to M.G.L. c. 131, § 52, and 321 CMR 4.01(8), or for the taking of herring and alewives pursuant to M.G.L. c. 131, § 56; (g) to set or use more than two hooks for fishing, or, in the case of ice fishing, five hooks. (h) to take or attempt to take fish other than at a time provided in 321 CMR 4.01 or to possess at any time a greater number of fish or of fish of a length less than provided in 321 CMR 4.01 or to possess a fish at a period or in an area other than so provided. Such taking or possession shall be prima facie evidence of a violation of 321 CMR 4.01, provided, that the taking or having in possession of any fish of a length less than as provided in 321 CMR 4.01 if taken by a person lawfully fishing and immediately returned alive to the water from whence it was taken shall not constitute such a violation. (i) to use a lead sinker, lead weight, or lead jig in the inland waters of Massachusetts; provided that this prohibition shall be enforceable beginning January 1, 2012.

(5) Dukes and Nantucket Counties. The provisions of 321 CMR 4.01 shall not apply to the taking of white perch in Dukes and Nantucket Counties.

(6) Seasons, Dates, Creel and Size Limits, and Related Provisions. Open seasons, dates, provisions relative to certain waters, creel limits, minimum legal length in inches, and related provisions relative to the taking of certain fish in inland waters are set forth in Table 1.

(7) Jurisdictional Boundaries. For the purpose of determining inter-agency jurisdictional boundaries between the Division of Fisheries and Wildlife and the Division of Marine Fisheries, a marker is hereby established on the Merrimack River. The marker shall be the first upstream or easternmost (i.e., northbound traffic) bridge of Rte. I-495 in the City of Haverhill. Waters of the Merrimack River downstream from said bridge shall be subject to the authority, rules and regulations, of the Division of Marine Fisheries. Waters upstream from said bridge shall be subject to the jurisdictional authority, rules and regulations, of the Division of Fisheries and Wildlife.

(8) Taking, Sale, Importation and Use of Baitfish. (a) Definitions: Baitfish means only live or dead fish of the following species. A person shall not use as bait any fish, alive or dead, including parts thereof, except the baitfish listed in 321 CMR 4.01(8)(a)1. through 10. 1. White sucker (Catostomus commersoni) 2. Banded killifish (Fundulus diaphanus) 3. Mummichog (Fundulus heteroclitus) 4. Pumpkinseed (Lepomis gibbosus) 5. Golden shiner (Notemigonus crysoleucas) 6. Rainbow smelt (Osmerus mordax), only as provided in 321 CMR 4.01: Table 1. 7. Yellow perch (Perca flavescens) 8. Fallfish (Semotilus corporalis) 9. Fathead minnow (Pimephales promelas) 10. Herring (Clupea spp.) may be used as bait in the , Merrimack River, and coastal rivers and streams only as provided in 321 CMR 4.01: Table 1 and 322 CMR, but may not be possessed or used as bait in other rivers and streams, or in lakes, ponds, or reservoirs. Commercial Baitfish means only live or dead fish of the following species lawfully imported into the Commonwealth, or propagated within the Commonwealth for purposes of sale as baitfish: 1. White sucker (Catostomus commersoni) 2. Mummichog (Fundulus heteroclitus) 3. Golden shiner (Notemigonus crysoleucas) 4. Fathead minnow (Pimephales promelas) Baitfish taken from any inland waters of the Commonwealth shall not be considered commercial baitfish, and shall not be sold or offered for sale.

4/11/14 321 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. 321 CMR: DIVISION OF FISHERIES AND WILDLIFE

4.01: continued

(b) Taking for Personal Use. Licensed fishermen may take baitfish defined as Baitfish in 321 CMR 4.01(8)(a) from the waters of the Commonwealth for personal use only. (c) Baitfish Harvest Zones. Except as prohibited by 321 CMR 4.01(7)(d), baitfish may be taken from the inland waters of the Commonwealth by licensed fishermen for personal use only. (d) Prohibited Areas. Baitfish may not be taken from great ponds, waters which are in whole or in part under lease or license as public fishing grounds, or other waterbodies designated as closed to the taking of baitfish by the Director. (e) Certain Fish Traps to Be Allowed. Licensed fishermen may take baitfish for personal use by all lawful methods, including by means of a single fish trap with openings of not over one inch, by a single circular net not exceeding six feet in diameter, or by means of a net, containing not more than 36 square feet of net surface. Nets designed to gill fish are prohibited. Any fish taken in suchfish traps, other than those permitted by 321 CMR 4.01(8)(a) shall be immediately returned to the waters from where they were taken. (f) Importation of Baitfish. Only commercial baitfish defined in 321 CMR 4.01(8)(a) may be imported for use and sale as bait by a licensed dealer. Importation of any live fish, other than aquarium trade fish as defined in 321 CMR 9.01(2): Definitions, requires an importation permit from the Director, including commercial baitfish. (g) Sale of Commercial Baitfish. No person shall sell or offer for sale any commercial baitfish unless such person is licensed as a dealer and the commercial baitfish has been lawfully imported or propagated within the Commonwealth. (h) Sale of Preserved Baitfish. Notwithstanding the provisions of 321 CMR 4.01(8), baitfish or parts thereof which are canned, pickled or otherwise commercially preserved by a method other than by freezing, and lawfully imported or propagated may be used or sold as bait without a permit.

4/11/14 321 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. 321 CMR: DIVISION OF FISHERIES AND WILDLIFE

4.01: continued TABLE 1

MINIMUM SPECIES DAILY LENGTH OPEN SEASON (ALL CREEL (INCHES) DATES INCLUSIVE

Brown Trout Special 1 15 Jan. 1 - Dec. 31 Management Lakes/Ponds (as listed)1 Total daily creel not to exceed one brown trout

Brook, Brown, Other 3 None Jan. 1 - Dec. 31 Tiger & Rainbow Lakes/Ponds Trout Total daily creel not to exceed three trout in any combination

Brook, Brown, Major 3 None Jan. 1 - Dec. 31 Tiger & Rainbow Rivers Trout (as listed)2 Total daily creel not to exceed three trout in any combination

Brook, Brown, Other 8 None Apr. 1 - Sep. 10 Tiger & Rainbow Rivers Trout and Streams3 Total daily creel not to exceed eight trout in any combination

Brook, Brown, Other 3 None Sep. 11 - Mar. 31 Tiger & Rainbow Rivers Trout and Streams3 Total daily creel not to exceed three trout in any combination

Lake Trout (Wachusett Res.) 3 None Jan. 1 - Dec. 31

Lake Trout (Quabbin Res.) 2 18 Jan. 1 - Dec. 31

Landlocked Salmon 2 15 Jan. 1 - Dec. 31

1 Special Brown Trout Management Waters: South Pond (Quacumquasit), Brookfield. 2 Major Trout Rivers: (Falmouth, Mashpee), Coonamesset River, Deerfield River, East Branch Swift River, East and West Branches Tully River, East Branch , , Green River (Colrain), Green River (Great Barrington), (Kingston, Plympton), , , Millers River, Nissitissit River, North River (Colrain), Parker River, , , Quinapoxit River, , Scorton Creek, Seven Mile River, , , Stillwater River, Swift River (Winsor Dam to Ware River, except as posted), Ware River, West Branch North River, Westfield River (all branches). 3 Exclusive of the areas set forth in 321 CMR 4.01(2)(j), in the area from the confluence of the East and West Branches of the Housatonic River in Pittsfield to the Connecticut border in Sheffield, the total daily creel (January 1st through December 31st) shall not exceed one trout (minimum length of 20 inches).

4/11/14 321 CMR - 73 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 321 CMR: DIVISION OF FISHERIES AND WILDLIFE

4.01: continued TABLE 1 (continued)

MINIMUM SPECIES DAILY LENGTH OPEN SEASON (ALL CREEL (INCHES) DATES INCLUSIVE

Broodstock Salmon4 2 15 See Note # 4

Atlantic Salmon4 2 15 See Note # 4

Smelt5 - None May 16 - last day of Feb.

Sturgeon - - No Open Season

Black Bass (Largemouth or Smallmouth) 5 12 Jan. 1 - Dec. 31

Chain Pickerel 5 15 Jan. 1 - Dec. 31

Northern Pike 1 28 Jan. 1 - Dec. 31

Tiger Muskellunge 1 28 Jan. 1 - Dec. 31

Walleye 5 14 Jan. 1 - Dec. 31

American Shad 3 None Jan. 1 - Dec. 31 (Connecticut River and tributaries and Merrimack Rivers and tributaries)

American Shad 0 None Jan. 1 - Dec. 31 (All Other Waters) (Catch and Release Only)

Striped Bass6 See 322 CMR

Herring See 322 CMR

All Other Species - None Jan. 1 - Dec. 31

4 Atlantic Salmon and Broodstock Salmon: The harvest of Atlantic salmon, including broodstock salmon, and broodstock is lawful in all inland waters of Massachusetts, except: (a) Connecticut River and all its tributaries, (b) the Merrimack River downstream of the Essex Dam in the City of Lawrence, and all tributaries of the Merrimack River downstream of the Essex Dam in the City of Lawrence, and (c) the harvest of any Atlantic Salmon or broodstock salmon in the Merrimack River upstream of the Essex dam in Lawrence MA and in all tributaries of the Merrimack River upstream of the Essex dam in Lawrence MA not marked with an external plastic Floy tag ("thread" or "spaghetti" tag) that is approximately c inch in diameter and that is 3 and ½ inches long and attached to the salmon at the base of the dorsal fin. No person shall possess an Atlantic salmon (including broodstock salmon) while fishing in the Connecticut River and all its tributaries, or in the Merrimack River downstream of the Essex Dam in the City of Lawrence, or in any tributary of the Merrimack River downstream of the Essex Dam in the City of Lawrence. 5t Smelt may be taken in all inland waters by hook and line only from May 16 h to the last day of February, excepting Quabbin Reservoir, where smelt may only be taken in open water where legal fishing is permitted from May 16th to the end of the Quabbin fishing season. There is no daily or seasonal limit for smelt on these waters. The possession of smelt or their use as bait in inland waters other than during the established open season on smelt is prohibited. 6 Sale of striped bass from inland waters is prohibited. No person shall take more than eight brook, brown, tiger, or rainbow trout in any one day in the aggregate from all waters.

4/11/14 321 CMR - 74 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 321 CMR: DIVISION OF FISHERIES AND WILDLIFE

4.02: Taking of Carp and Suckers for the Purpose of Sale

(1) Definitions: Carp means only the common carp (Cyprinus carpio) Sucker means only the white sucker (Catostomus commersoni)

(2) Carp and suckers shall not be taken from the inland waters of the Commonwealth and shall not be sold or offered for sale.

4.03: Taking of Eels From Inland Waters

Eels shall not be taken from the inland waters of the Commonwealth for personal use or for commercial purposes including for sale as baitfish.

4.04: Taking of Fish in Interstate Ponds Lying Between Massachusetts and New Hampshire

(1) Persons duly licensed or otherwise entitled to fish under the laws of the Commonwealth or the State of New Hampshire may fish in all portions of Lake Monomonac, Robbin Pond, (Winchendon), Long Pond, (Tyngsboro, Dracut), Bent Pond, (Warwick), and Tuxbury Pond, (Amesbury) in accordance with the New Hampshire fishing regulations.

4.05: Taking of Fish in Interstate Ponds Lying Between Massachusetts and Connecticut

(1) Persons duly licensed or otherwise entitled to fish under the laws of this Commonwealth or the State of Connecticut may fish in all portions of the following named waters.

(2) Massachusetts laws and regulations relating to fishing shall apply to all waters of Congamond Lake (Southwick), and Hamilton Reservoir (Holland). Connecticut laws and regulations relating to fishing shall apply to all the waters of Colebrook Reservoir, (Sandisfield), Perry Pond, (Dudley), Muddy Pond, and Breakneck Pond, (Southbridge).

4.06: Taking of Fish in Interstate Ponds Lying Between Massachusetts and Rhode Island

Pursuant to authority contained in M.G.L. c. 131, § 49, and in conference with the Chief of the Division of Fisheries and Wildlife in the State of Rhode Island, I hereby promulgate the following rules and regulations relative to fishing in Wallum Lake lying between the Commonwealth of Massachusetts and the State of Rhode Island.

Wallum Lake. (a) All persons licensed or otherwise entitled to fish under the laws of this Commonwealth or the State of Rhode Island may fish in all portions of Wallum Lake (Douglas) in accordance with Rhode Island regulations pertaining to dates, times, bag limits, and minimum lengths. (b) Patients in the State Sanitorium, Burrillville, Rhode Island shall be entitled to fish without a license only in that portion of said Wallum Lake lying within the State of Rhode Island. (c) Rules and regulations for fishing in Wallum Lake promulgated on April 8, 1968 are hereby revoked.

4.09: Propagation, Culture, Maintenance and Sale of Protected Freshwater Fish

(1) Purpose and Scope. The purpose of 321 CMR 4.09 is to establish the procedural and substantive requirements for licenses for the possession, propagation, culture, maintenance, sale, purchase and disposition of fish. The provisions of 321 CMR 4.09 are designed to protect fish and their habitats from unnecessary or undesirable impacts and from improper treatment or exploitation. These provisions are also necessary for the protection of the public health, welfare and safety when fish are possessed, maintained, cultured or propagated in Massachusetts.

4/11/14 321 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. 321 CMR: DIVISION OF FISHERIES AND WILDLIFE

4.09: continued

Fish retained in captivity and dependent on humans for care may not be capable of surviving in the wild if problems arise and they are liberated by those who had attempted to care for them. The result is an animal that may suffer a lingering fate prior to death and may be a potential danger to the public or the aquatic environment. The purpose of 321 CMR 4.09 is to prevent not only the potential public menace, disease, or damage to the environment which may result when the fish are liberated, but to protect them from the potential for needless or unnecessary suffering as well. Thus, the scope of 321 CMR 4.09 is to (a) regulate the taking from the wild, possession, propagation, purchase, receipt or sale of protected fish intended to be kept by any person in Massachusetts; (b) define specific categories for which licenses may be issued for the possession, maintenance, propagation or culture, or sale of protected fish; (c) establish minimum requirements for the possession, maintenance and culture or propagation of protected fish; (d) establish administrative procedures for the initial issuance and subsequent renewal of licenses, and (e) otherwise implement the licensing provisions of M.G.L. c. 131, § 23.

(2) Definitions. For the purposes of 321 CMR 4.09, the following words have the following meanings:

Aquaculture means the propagation, culture and maintenance of fish for the purpose of selling such fish or a product derived from such fish in the regular course of business, or the culture of fish pursuant to a class 1 or class 2 license, but not including the scientific or educational propagation, culture and maintenance of fish, or the sale of exempt live fish as pets in a pet shop as regulated pursuant to M.G.L. c. 129.

Aquarium means a permanent site or a permanent location of less than 4356 square feet of surface area where a collection of living nondomesticated animals are maintained for regular exhibition to the public or as pets, and includes a zoo as defined in 321 CMR 2.12(2).

Class 1 - Class 3, and Class 6 Licenses means respectively licenses issued under authority of clauses 1 through 3, and clause 6, M.G.L. c. 131, § 23.

Culture means to use an artificial or enhanced natural environment in order to induce growth, development, or reproduction.

4/11/14 321 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. 321 CMR: DIVISION OF FISHERIES AND WILDLIFE

4.09: continued

Director means the Director of the Division of Fisheries and Wildlife or his agents.

Division means the Massachusetts Division of Fisheries and Wildlife, 251 Causeway Street, Boston, MA 02114 (telephone 617-626-1590).

Educational Use means a use or uses as contained in a course of training, of any extent or duration, and which pertains to the acquisition, development, or maintenance of a person's moral, intellectual, vocational, and physical faculties, insofar as such course of training shall relate to fisheries or wildlife, and the habitats, ecological relationships, or the environment thereof.

Expansion means an increase in the area used to hold fish during culture or maintenance.

Fish means any vertebrate of the classes Cyclostomata or Osteichtheyes not otherwise exempted in the exemption list at 321 CMR 9.01: Exemption List, and shall additionally include the parts, spawn and viable eggs thereof.

Gender means, unless the context requires otherwise, that words importing the masculine gender shall include the feminine and neuter.

Maintain means that fish are kept in indoor or outdoor confinement by a person or otherwise held under artificial conditions which allows exclusive control over them. Fish which are maintained remain in the same physical condition and life stage at which they were obtained by the permittee. Such fish may be supplied with food, or are otherwise cared for, but are not bred or allowed to reproduce.

Native means fish species that either occur or have occurred within Massachusetts, provided that the original occurrence of such species was not the result of deliberate or accidental introductions by humans.

Naturalized means fish species that have been introduced to Massachusetts by humans and have established self-sustaining populations.

Navigable Waters means all waters in creeks, coves, inlets, and arms of the sea or rivers that are: (a) within the ebb and flow of the tide, or (b) defined as navigable by the U.S. Army Corps of Engineers.

Permit or License means a license issued pursuant to M.G.L. c. 131, § 23.

Person means any individual, corporation, partnership, trust, association or other private entity or any officer, agent, department or instrumentality of the federal government or any state or its political subdivisions, including but not limited to any agency, department, board, commission or authority thereof.

Propagate means the natural or artificial reproduction of fish.

Scientific Use means a use or uses concerned with the classification, formulation, verification, and documentation of various natural laws, principles, and events by induction, deduction, hypothesis, and experimentation, including, but not limited to, the collection, analysis, propounding, and display of data, whether written, recorded or otherwise, and of artifacts, specimens, and similar physical samples, and shall further relate generally to the physical world and its associated phenomena, and specifically to those branches of systematized knowledge categorized as zoology, botany, ecology, wildlife management, fisheries management, medicine, and veterinary medicine, or such other skills and disciplines which shall require such use or uses.

(3) Licenses. Unless otherwise provided by M.G.L. c. 130 or c. 131, or any rule or regulation issued under the authority thereof, it is unlawful for any person to possess, maintain, propagate or culture, sell, barter, or offer to sell or barter any fish without having a valid license issued to them by the Director in one of four classes.

4/11/14 321 CMR - 77 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 321 CMR: DIVISION OF FISHERIES AND WILDLIFE

4.09: continued

(a) A class 1 private waters license (including a class 1 special propagator's license) authorizes any individual to possess, propagate, culture, maintain and buy fish at any time for the personal use of himself, his immediate family or guests; or to any club or association, or its members or guests, a special propagator's license to possess, propagate, culture and maintain fish at any time for the purpose of fishing within waters under the exclusive control of such club or association for the personal use of the members and guests thereof. A class 1 private waters license may be issued for Type A fish species only. Sale of fish is not allowed under a class 1 private waters license. (b) A class 2 public stocking license (including a class 2 special propagator's license) authorizes any individual, club or association to possess, propagate, culture, maintain and buy fish for the purpose of liberation into public waters. Notwithstanding the species restrictions in 321 CMR 4.09(4)(b), a class 2 public stocking license shall allow the propagation and liberation of fish in waters approved by the Director. A class 2 public stocking license may be issued as a Letter Permit in accordance with M.G.L. c. 131, § 4(2) and 321 CMR 2.02: Permits to Take or Possess but shall otherwise conform to the requirements of 321 CMR 4.09. (c) A class 3 aquaculture license (including a class 3 propagator's license) authorizes any individual, club or association to possess, propagate, culture, maintain, buy, sell or otherwise dispose of fish at any season of the year. A class 3 aquaculture license may be issued for Type A, B, or C Aquaculture Facilities, as the case may be, and shall be designated class 3A, 3B, or 3C licenses. (d) A class 6 dealer's license authorizes an individual to possess, maintain, buy, sell, or offer for sale fish or parts thereof lawfully imported or propagated within Massachusetts. Fish maintained alive under a class 6 dealer's license are subject to the species and facilities restrictions established in 321 CMR 4.09(4).

(4) Aquaculture Facilities. Aquaculture licenses issued pursuant to 321 CMR 4.09 may be obtained for the following types of aquaculture facilities: (a) Type A Aquaculture Facility. This facility authorizes the propagation, culture or maintenance of those fish specified in 321 CMR 4.09(4)(b). Type A facilities must have all intake and outflow water conduits screened in such a manner as to prevent the escape of the smallest life stage of the fish being cultured at the facility. (b) Type A Fish Species. These fish are native or naturalized and present in the majority of watersheds in Massachusetts or are listed as commercial bait species in 321 CMR 4.01(8)(a). The species which may be propagated or maintained in Type A Aquaculture Facilities shall include only: bluegill, brook trout, brown bullhead, brown trout, chain pickerel, fathead minnow, golden shiner, largemouth bass, mummichog, pumpkinseed, rainbow trout, white sucker, and yellow perch. (c) Type B Aquaculture Facility. This facility authorizes the propagation, culture or maintenance of those fish specified in 321 CMR 4.09(4)(d). Type B facilities shall be enclosed by a fence or other barrier which will effectively prevent trespass, theft, and vandalism. Intake and outflow water conduits must be screened in such a manner as to prevent the escape of the smallest life stage of the fish being cultured at the facility. (d) Type B Fish Species. The species which may be propagated or maintained in Type B Aquaculture Facilities shall include only those species that exist, as determined by the Director, in the watershed of operation, provided that any species which may be propagated or maintained in a Type A Aquaculture Facility may also be propagated or maintained in a Type B Aquaculture Facility. (e) Type C Aquaculture Facility. This facility authorizes the propagation, culture or maintenance of those fish specified in 321 CMR 4.09(4)(f). Fish species propagated or maintained under this facility shall be separated physically and biologically from the aquatic resources of Massachusetts. Type C Aquaculture Facilities shall not be allowed in the 100 year flood plain as defined by the U.S. Federal Emergency Management Agency. Type C facilities shall be located within a secure, permanent, and enclosed building constructed so as to prevent mammalian or avian predation and the escape of fish contained therein, and to minimize trespass, theft, or vandalism. The facility shall also have an effective means of preventing the discharge into the environment of biological effluents (including eggs, larvae, fry, parasites, and diseases), a functional backup electrical system to insure the continual maintenance of water quality treatment and water supply unless all discharge from the aqua-

4/11/14 321 CMR - 78 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 321 CMR: DIVISION OF FISHERIES AND WILDLIFE

4.09: continued

culture facility is to a municipal waste treatment facility, and an acceptable non-polluting waste disposal plan which includes provisions for the disposal of fish carcasses and offal. (f) Type C Fish Species. The species which may be propagated or maintained in Type C Aquaculture Facilities shall include only: coho salmon, tilapia, white bass, and white bass X striped bass hybrids, provided that any species which may be propagated or maintained in a Type A or Type B Aquaculture Facility may also be propagated or maintained in a Type C Facility. Species not listed in 321 CMR 4.09(b), (d), or (f) may be permitted, at the discretion of the Director, for culture in Type C aquaculture facilities.

(5) Requirements for Aquacultural Facilities: (a) Aquaculture shall not be permitted in great ponds or in navigable waters, except as authorized by the Division of Marine Fisheries pursuant to M.G.L. c. 130. (b) No riparian property owner of a natural pond other than a great pond, or of an artificial pond of any size, or of a non-navigable stream or brook shall enclose the waters therein within the limits of his own premises unless he furnishes a suitable passage for all anadromous fish naturally or historically frequenting such waters. (c) No person shall take or attempt to take fish from a natural pond which is not a great pond, or an artificial pond of any size, or a non-navigable stream or brook, where fish are propagated or maintained under authority of a license issued pursuant to 321 CMR 4.09, without the written consent of the owner, proprietor, or lessee thereof. (d) All waters in which fish are propagated and maintained subject to 321 CMR 4.09 shall be conspicuously posted to that effect and shall bear the name of the permittee. (e) The propagation and maintenance of fish for scientific and educational purposes shall be as provided in 321 CMR 4.09(8). (f) Records and reports shall be kept and submitted as provided in 321 CMR 4.09(24). (g) Culture of Atlantic salmon may be conducted only with eggs, fry, parr, smolts, or adult fish which have been obtained from a source approved by the Director.

(6) Recreational Fishing in Aquacultural Facilities. Recreational fishing may be allowed in waters licensed under a class 1 private waters license or a class 3 aquaculture license, provided that no person shall take or attempt to take fish from a natural pond which is not a great pond, or an artificial pond of any size, or a non-navigable stream or brook, where fish are propagated or maintained under authority of a license issued pursuant to 321 CMR 4.09, without the written consent of the owner, proprietor, or lessee thereof. Recreational fishing shall not be allowed in waters licensed under a class 2 license. A class 1 private waters permittee, or a class 3 aquaculture permittee allowing recreational angling shall maintain a logbook, in which shall be recorded the date, number and species of fish, and the name and signature of each angler removing any fish for which a bag limit is established pursuant to 321 CMR 4.01 and which is removed for purposes other than for aquaculture. Alternatively, in lieu of a logbook, a Class 3 permittee may issue to the angler a dated receipt with the name of the permittee and number and species of fish removed. Permittees shall keep said logbook, or a copy of the dated receipt, as the case may be, for a period of two years.

(7) Propagation, Maintenance, and Sale of Baitfish. Baitfish may be propagated, cultured, maintained, bought, and sold in accordance with the following: (a) A class 3 aquaculture license may authorize the permittee to propagate, culture, maintain and sell commercial bait species as listed in 321 CMR 4.01(8)(a), but shall not authorize the taking of such fish from the wild in Massachusetts. An importation permit pursuant to 321 CMR 2.15: Importation, Liberation, and Transportation of Fish, Amphibians, Reptiles, Birds, and Mammals shall be required to import such commercial baitfish. (b) A class 6 dealer's license may authorize the permittee to maintain and sell commercial bait fish as listed in 321 CMR 4.01(8), but shall not authorize the taking of such fish from the wild in Massachusetts. An importation permit pursuant to 321 CMR 2.15: Importation, Liberation, and Transportation of Fish, Amphibians, Reptiles, Birds, and Mammals shall be required to import such commercial baitfish.

4/11/14 321 CMR - 78.1 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. 321 CMR: DIVISION OF FISHERIES AND WILDLIFE

4.09: continued

(8) Propagation, Culture and Maintenance of Fish for Scientific and Educational Purposes. A person seeking a class 3 aquaculture license for scientific or educational purposes shall provide such justification and supporting documentation as shall be required by the Director pertinent to the particular situation. A class 3 aquaculture license for scientific or educational purposes may be issued for any species, notwithstanding the species restrictions specified in 321 CMR 4.09(4).

(9) Application. A person seeking a license provided for in 321 CMR 4.09(3) shall complete a written application on forms supplied by the Director. Completed applications shall include a self- addressed stamped envelope and be addressed to the Permit Section of the Division.

(10) Information and Requirements. All initial license applications shall contain the following information. Renewal license applications shall include but not be limited to 321 CMR 4.09(10)(a), (c), (e), (g), and (h): (a) the applicant's name, address and telephone number where he can be reached between the hours of 9:00 A.M. to 5:00 P.M.; (b) the applicant's date of birth; (c) in the event the applicant is a corporation, firm, partnership, institution or agency, either public or private, the name, address and telephone number of the president, director, head or principal officer; (d) the location or locations where the licensed activity will be conducted; (e) the species or types of fish or parts thereof which are to be propagated, cultured, maintained, or sold; (f) the specific source or sources from which the fish are to be obtained; (g) the date of the application; (h) the applicant's signature executed under the pains and penalties of perjury; (i) for a class 3 license, accurate diagrams, models or drawings in scale or pictures depicting the precise physical conditions under which the fish will be maintained; (j) for a class 6 license, or for a class 3 license issued for commercial purposes, a signed affidavit certifying that the applicant has to the best of his knowledge paid all state taxes as required by the Massachusetts Department of Revenue; (k) a written plan detailing the intended activity for which the fish are to be maintained, the disposition of the fish if relevant, and other information pertinent to a full explanation and justification for the possession of the fish; and (l) for a class 3C aquaculture license, a waste management plan as provided for in 321 CMR 4.09(4)(e).

(11) Special Requirements for Sale of Fish as Food. (a) A class 6 dealer shall obtain a license for each additional place of business, at a cost to be determined annually by the Commissioner of Administration and Finance. (b) Class 6 dealer's licenses shall be conspicuously posted in a public place in the permittee's place of business. (c) Packaging, marking or tagging of fish shall be as provided in 321 CMR 4.09(20)(b) and (c).

(12) Fees. All applications and renewals shall be accompanied by the appropriate fee indicated on the application in the form of a check or money order payable to the Division of Fisheries and Wildlife. Cash may be used only when the application is made in person.

4/11/14 321 CMR - 78.2 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. 321 CMR: DIVISION OF FISHERIES AND WILDLIFE

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(13) Exception. Payment of fees shall not be required of any federal, state, or municipal agency or official, nor of any person under contract to the Division of Fisheries and Wildlife or otherwise involved in projects conducted or directly supervised by the Division of Fisheries and Wildlife.

(14) Abandoned Applications. Upon receipt of an incomplete application, an improperly executed application, or an insufficient fee, the applicant shall be notified of the deficiency. If the applicant fails to supply the requested information, pay the required fee or otherwise fails to correct the deficiency within 60 days following the date of notification, the application shall be considered abandoned and shall be returned to the applicant.

(15) Denials. Applications for a license provided for in 321 CMR 4.09(3) shall, unless otherwise provided, be denied when: (a) the application is for a license to possess, maintain, propagate or culture fish as pets except as otherwise provided for in 321 CMR 4.09(15)(f); (b) the application is for a class 3 license to possess, maintain, culture or propagate fish for purposes or intentions based purely on curiosity, impulse or novelty, or to provide for personal amusement or entertainment; (c) the applicant has previous to the date of application been criminally convicted of a violation of any provision of M.G.L. c. 131 or c. 131A, any provision of 321 CMR, or any federal statute or federal regulation which is related to the activity for which the license is sought; (d) the applicant has failed to disclose or submit material information or has made false statements as to any fact in connection with the application; (e) a prior inspection of the facilities where the fish will be possessed, maintained, propagated or cultured by a duly authorized state or federal official has disclosed that the facilities do not meet the requirements found in 321 CMR 4.09(4) and (19) and such deficiencies have not been corrected within 30 days; (f) the application is for a license to possess fish in a commercial venture involving amusement or sport, other than recreational fishing under a class 1 private waters license; (g) the applicant for a class 3 or class 6 license has imported into or received in Massachusetts any fish without a valid importation license as required by M.G.L. c. 131, § 19A; (h) propagation, culture, maintenance of fish at the facilities or in the waters described in the application may, in the opinion of the Director, put the aquatic resources of Massachusetts at risk.

(16) Issuance. Class 3 or class 6 licenses may be issued only to applicants who substantially document that the intended possession, maintenance, culture or propagation is for: (a) A class 3 license for an authentic and legitimate scientific use certified by officials of a generally recognized scientific institution such as museums of a zoological or biological nature, zoological or biological departments of an accredited college or university, or a public or private research institute for fish studies; (b) A class 3 license for an authentic and legitimate educational use certified by zoological or biological officials of a generally recognized educational institution such as an accredited college or university or a public or private school; (c) A class 3 license for the commercial propagation, culture or maintenance of fish for sale other than sale as pets; (d) A class 6 license for the commercial maintenance of fish for sale other than sale as pets; (e) A class 3 license for fish held or propagated under holding agreements or in conjunction with breeding programs of established zoos or aquaria licensed by the U.S. National Marine Fisheries Service;

4/11/14 321 CMR - 78.3 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. 321 CMR: DIVISION OF FISHERIES AND WILDLIFE

4.09: continued

(f) A class 3 license for the captive propagation of endangered or threatened fish under the auspices of a written captive propagation program approved by both the Director and the Fisheries and Wildlife Board; (g) A class 3 license for any protected fish lawfully possessed prior to July 1, 1980.

(17) Temporary Possession Permit. Persons may temporarily possess fish in Massachusetts provided a temporary possession permit is obtained from the Director. The applicant shall supply the Permit Section of the Division with the dates, times and locations where the animals will be possessed, the purposes of the temporary possession, a list of the animals being temporarily possessed, the dates of their removal, and shall justify to the satisfaction of the Director the necessity for such temporary possession.

(18) Inspections. Upon submission of a properly completed application for a class 3C aquaculture license to be issued pursuant to 321 CMR 4.09(3) and all required supporting documentation, an Environmental Police Officer or an official of the Division, or both, shall inspect the facilities to be used by the applicant for the culture and maintenance of fish. Facilities may also be inspected at any reasonable time after completion. The licensee shall provide conditions, as determined by the director, sufficient to maintain all fish species being cultured, prevent disease and parasitism of the cultured species, dispose of waste, and provide for the maintenance or disposition of cultured fish in the event of the licensee's absence, illness or death. Class 3A or 3B aquaculture facilities, may, at the discretion of the Director, be inspected prior to issuance of the license and at any time thereafter to insure the well-being of the fish being propagated, the safeguarding of the aquatic environment of Massachusetts, and compliance with the provisions of 321 CMR 4.09. Class 1 and class 2 permittees and class 6 dealers shall, where applicable to the class of license, conform to the requirements specified in 321 CMR 4.09(4) and (18). Class 1 and class 2 facilities and class 6 dealers may, at the discretion of the Director, be inspected prior to issuance of the license and at any time thereafter to insure the well-being of the fish being propagated, the safeguarding of the aquatic environment of Massachusetts, and compliance with the provisions of 321 CMR 4.09.

(19) Restrictions. Applications for a license issued pursuant to 321 CMR 4.09(3) shall additionally comply with the following restrictions. (a) Fish may be procured in the following manner only: 1. lawfully propagated, harvested, or taken outside of Massachusetts; or 2. lawfully propagated within Massachusetts; and 3. unless otherwise provided for by law or by permit from the Director, fish taken from the wild within Massachusetts may not be propagated, cultured or maintained pursuant to M.G.L. c. 131, § 23. (b) Except as provided in 321 CMR 4.09(19)(c), fish sold for food purposes must first be killed and shall be packaged or wrapped in cartons, boxes, cans or other containers which shall be plainly labelled with the name and address of the permittee, and the species name, number and net weight of the fish contained therein, provided that individual fish sold to an individual for his own consumption as food may be tagged with a metal tag to be furnished to the permittee at a cost to be determined annually by the Commissioner of Administration and Finance and such tag shall remain attached to the fish until prepared for consumption and shall not be reused. Permittee shall additionally maintain a logbook or issue a dated receipt as provided for in 321 CMR 4.09(6). A common victualler or a dealer may purchase dead fish or parts thereof from a class 3 or class 6 permittee and sell the same to an individual for his own consumption as food when the fish are wrapped, packaged, and labelled in accordance with 321 CMR 4.09(19)(c) and such common victualler or dealer need not be licensed pursuant to 321 CMR 4.09.

4/11/14 321 CMR - 78.4 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. 321 CMR: DIVISION OF FISHERIES AND WILDLIFE

4.09: continued

(c) A common victualler or a dealer, when licensed in accordance with 321 CMR 4.09, may purchase live fish for resale to an individual for his personal consumption as food, provided that a dated bill of sale accompanies the purchase and is kept with the fish during the shipping thereof and bears the name and address of the permittee and the purchaser, and the species name, number, and net weight of the fish contained in the shipment. (d) Common victuallers or unlicensed dealers may not possess or sell fish, live or dead, or parts thereof, except in accordance with 321 CMR 4.09(19)(b) or (c). (e) Live fish may not be taken from the premises of class 1, 3, or 6 licensees except by holders of valid aquaculture or liberation permits for the purposes of aquaculture or liberation, and except that commercial bait fish may be removed from a licensed aquaculture facility for use as bait. The seller must keep a record of the name, address, and permit number of the buyer.

(20) Conditions. The Director may at any time, in writing, establish conditions or restrictions to a license issued pursuant to 321 CMR 4.09(3) if, in his opinion, the conditions or restrictions are necessary for the preservation and protection of the health, welfare or safety of the citizens of Massachusetts or of the fish, or to establish criteria in furtherance of particular scientific or educational uses of fish. The Director may, in all cases where such act would be possible, remove all fish then inhabiting a pond or stream and plant them in waters open to the public before a class 1 or class 3 license may be issued. Where such action is impractical, the owner shall agree to reimburse the Commonwealth with purchased fish of a kind and number designated by the Director.

(21) Agreement. All licenses issued pursuant to 321 CMR 4.09(3) shall be signed by the licensee and such signature shall constitute: (a) an agreement by the licensee to fully comply with all relevant provisions of law including but not limited to M.G.L. c. 131, c. 131A, 321 CMR, and all applicable conditions and restrictions of the license; (b) an agreement by the licensee to allow inspections at reasonable times of the premises where the fish are kept by the Director, his agent, or an Environmental Police Officer; and (c) liability agreement.

(22) Amendments. Class 3 license holders shall submit to the Director in writing any proposed change in the culture facility or the species held at the facility covered by a pending application or a current license. All such requested amendments and modifications shall be subject to the provisions of 321 CMR 4.09.

(23) Records and Reports. Licensees shall keep and maintain for no less than two years accurate records on forms supplied by the Division of all animals possessed and maintained under authority of a license. Said records shall be made available to the Director or to an Environmental Police Officer upon request. Records shall contain the number, place, method of disposition of fish, the person or persons to whom disposed of, whether disposed of for aquaculture, food or otherwise, and such other information as the Director may require. The Director may require, as a condition of renewal, an annual report containing such information on fish propagated, cultured, maintained, bought, or sold as he may deem appropriate and such report shall be submitted not later than January 31st for the preceding year.

(24) Renewal. Applications for renewal of any license authorized to be renewed: (a) shall be filed with the Division no later than December 31st of each year; (b) shall contain any change in protected fish to be maintained; (c) shall include an annual report as provided in 321 CMR 4.09(23), where required; (d) shall be subject to the provisions of 321 CMR 4.09 and relevant provisions of M.G.L. c. 131; and (e) are subject to M.G.L. c. 30A, § 13, and 801 CMR 1.00: Standard Adjudicatory Rules of Practice and Procedure in the event a renewal is denied.

4/11/14 321 CMR - 78.5 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. 321 CMR: DIVISION OF FISHERIES AND WILDLIFE

4.09: continued

(25) Suspension or Revocation. Licenses issued pursuant to 321 CMR 4.09 may be suspended or revoked in accordance with the relevant provisions of M.G.L. c. 30A and 801 CMR 1.00: Standard Adjudicatory Rules of Practice and Procedure for: (a) a violation of any provision of M.G.L. c. 131 or c. 131A; (b) a violation of any provision of 321 CMR; (c) a violation of any federal statute or regulation which is related to the activity for which the license has been obtained; (d) a violation of any condition or restriction of the license; or (e) upon the request of an Environmental Police Officer if it is determined that the licensee's operation causes an unnecessary threat to the public health, welfare or safety or is not in the best interest of the fish.

(26) Effect of Suspension, Revocation, or Non-Renewal. In the event a license is suspended, revoked or not renewed, the licensee shall dispose of the fish within 60 days in a manner required by the Director or in a manner provided for by the licensee with the approval of the Director.

(27) Prohibitions. Unless otherwise provided by M.G.L. c. 130, c. 131, c. 131A, or any rule or regulation issued under authority thereof, it is unlawful for any person: (a) to import, possess, maintain, culture, propagate or have custody of in Massachusetts any fish without a valid license issued pursuant to 321 CMR 4.09; (b) to falsify any license application or renewal, provide false documentation in support of a license application or renewal or fail to provide relevant and material information regarding a license application or renewal; (c) to refuse to allow reasonable inspections of the premises where the fish are kept at reasonable times by an Environmental Police Officer or by the Director or his agent; (d) to keep and maintain any fish in a condition or under conditions which do not comply with 321 CMR 4.09(4) or (18); (e) to import, possess, sell or purchase any fish which was taken or propagated unlawfully in or out of Massachusetts; (f) to liberate into the wild fish possessed and maintained under authority of a class 2 license without the Director or his agent being present, unless the Director waives such right, or into waters not otherwise approved by the Director; (g) to sell a fish for food purposes which has not been killed first and marked, labelled, or tagged as required by the Director, except as provided in 321 CMR 4.09(19)(c) and (d); (h) to violate any condition or restriction of a license issued prior to 321 CMR 4.09; (i) not to provide the Director with written notification of a change in protected fish stock which is covered by a pending application or a current license; (j) not to maintain for at least two years accurate records of all fish maintained and possessed or to falsify any such record or to refuse to provide such records upon request to an Environmental Police Officer or the Director; (k) to refuse or fail to comply with a disposal order of the Director issued pursuant to 321 CMR 4.09(26).

(28) Grandfather Clause. Individuals, groups, organizations or associations in possession of a current and valid aquaculture permit on the date of publication of 321 CMR 4.09 in the Massachusetts Register in 2013 shall be allowed to continue to grow the same species of fish which are listed on their permit permit for the remainder of the calendar year in which they are issued. Any permits issued in accordance with M.G.L. c.131, § 52 and 321 CMR 4.01(8) authorizing the taking of baitfish from the inland waters for commercial purposes will be valid for the remainder of the calendar year in which they were issued, but will not be renewed. Division approval of any amendment must be received by the permittee before any changes may take place. If the facility does not meet Division specifications to hold the species on the amendment, or if the facility is to be expanded, the permittee must comply with the Division specifications prior to issuance of an amended permit.

REGULATORY AUTHORITY

321 CMR 4.00: M.G.L. c. 131, §§ 4, 5, 23, 24, 26, 30, 49, 50, 51, and 52(a);

4/11/14 321 CMR - 78.6 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 # 379

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 603 CMR 1.00

CHAPTER TITLE: Charter Schools

AGENCY: Department of Elementary and Secondary Education

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. 603 CMR 1.00 provides uniform rules & procedures governing the establishment of charter schools. The current amendments are comprehensive & align the regulations with current guidance & policy, strengthen aspects of the charter school accountability system and align it more closely with the statewide accountability system, revise certain provisions regarding eligibility for new charters, increase enrollment of new students by prohibiting "rolling" waitlists and modifying requirements for filling admission spots that become available during a school year, specify the roles and responsibilities of boards of trustees, change the procedural requirements for amendments to charters, and clarify the processes for imposition of conditions, probation, and closure.

REGULATORY AUTHORITY: M.G.L. c. 69, s. 1B and c. 71, s. 89

AGENCY CONTACT: Cliff Chuang PHONE: 781-338-3222

ADDRESS: 75 Pleasant Street, Malden, MA 02148

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. Joint Committee on Education, 12/18/13; Massachusetts Municipal Association, 12/18/13; Department of Housing & Community Development, 12/18/13; Requirements of Executive Order 485 met.

PUBLIC REVIEW - M.G.L. c. 30A sections 2 and/or 3 requires notice of the hearing or comment period, including a small business impact statement, 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: 1/3/14 - 1/24/14

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 105 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:

For the first five years:

No fiscal effect: XX

SMALL BUSINESS IMPACT - M.G.L. c. 30A section 5 requires each agency to file an amended small business impact statement with the Secretary of the Commonwealth prior to the adoption of a proposed regulation. If the purpose of this regulation is to set rates for the state, this section does not apply.

Date amended small business impact statement was filed: 3/13/14

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

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: Amend 603 CMR 1.00

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: Mar 27 2014

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1258 DATE: 04/11/2014

EFFECTIVE DATE: 04/11/2014

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: 1 - 4 1 - 4 7, 8 7, 8 11 - 12.14 11 - 12.18

03/28/2014 cm

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 106 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 603 CMR: DEPARTMENT OF ELEMENTARY AND SECONDARY EDUCATION

Table of Contents Page

603 CMR 1.00: CHARTER SCHOOLS 11

Section 1.01: Scope, Purpose, and Authority 11 Section 1.02: Definitions 11 Section 1.03: General Provisions 12.1 Section 1.04: Applications for and Granting of Charters 12.1 Section 1.05: Student Recruitment, Enrollment, and Retention 12..6 Section 1.06: Boards of Trustees and Staff 12.8 Section 1.07: Funding 12.9 Section 1.08: Reporting Requirements and Ongoing Review 12.11 Section 1.09: Complaint Procedure 12.13 Section 1.10: Amendments of Charters 12.13 Section 1.11: Renewal of Charters 12.15 Section 1.12: Conditions, Probation, Suspension, Revocation, and Non-renewal 12.15 Section 1.13: Severability Clause 12.17

603 CMR 2.00: ACCOUNTABILITY AND ASSISTANCE FOR SCHOOL DISTRICTS AND SCHOOLS 13

Section 2.01: Authority, Scope, and Purpose 13 Section 2.02: Definitions 13 Section 2.03: Accountability and Assistance for Districts and Schools in All Levels 16 Section 2.04: Accountability and Assistance for Districts and Schools in Levels 1 through 3 16.2 Section 2.05: Accountability and Assistance for Districts and Schools in Level 4 16.2 Section 2.06: Accountability and Assistance for Districts and Schools in Level 5 16.6 Section 2.07: Mathematics Content Assessments at Level 4 and Level 5 Schools 16.11

603 CMR 3.00: PRIVATE OCCUPATIONAL SCHOOLS 17

Section 3.01: Definitions 17 Section 3.02: General Provisions 17 Section 3.03: Application Process 18 Section 3.04: Registered Schools 18 Section 3.05: Sales Representatives 18 Section 3.06: Surety Requirement 18 Section 3.07: Facilities 19 Section 3.08: Equipment 19 Section 3.09: Curriculum 19 Section 3.10: Certificates or Diplomas 19 Section 3.11: Attendance, Grading and Progress Reports 20 Section 3.12: School Records 20 Section 3.13: Enrollment Contracts 20 Section 3.14: Advertisements 20 Section 3.15: Qualifications for Teachers 21 Section 3.16: License Renewal 21 Section 3.17: Suspension and Revocation 21 Section 3.18: Student Complaints 22

603 CMR 4.00: VOCATIONAL TECHNICAL EDUCATION 29

Section 4.01: Authority and Purpose 29 Section 4.02: Definitions 29 Section 4.03: Program Approval Criteria 31 Section 4.04: Program Approval Procedures and Policies 35 Section 4.05: Program Outcomes 36 Section 4.06: Unpaid Off-campus Construction and Maintenance Projects 36 Section 4.07: Types of Vocational Technical Teacher Licenses, Requirements for Licensure and Licenses Issued 37

4/11/14 603 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. 603 CMR: DEPARTMENT OF ELEMENTARY AND SECONDARY EDUCATION

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603 CMR 4.00: VOCATIONAL TECHNICAL EDUCATION (continued)

Section 4.08: Types of Vocational Technical Administrator Licenses and Require- ments for Licensure 39 Section 4.09: Types of Vocational Technical Cooperative Education Coordinator Licenses and Requirements for Licensure 41 Section 4.10: Professional Standards 41 Section 4.11: Preliminary Vocational Technical Teacher License Renewal 47 Section 4.12: Professional Vocational Technical Educator License Renewal and Professional Development 47 Section 4.13: General Provisions 50 Section 4.14: Certificate of Occupational Proficiency 50.3

603 CMR 5.00: DISPUTE RESOLUTION UNDER PARENTAL NOTIFICATION LAW 51

Section 5.01: Authority, Scope and Purpose 51 Section 5.02: Definitions 51 Section 5.03: Local Process for Dispute Resolution 51 Section 5.04: Department of Education Process for Dispute Resolution 52

603 CMR 6.00: TEACHER QUALITY ENHANCEMENT 53

Section 6.01: Authority, Scope and Purpose 53 Section 6.02: Definitions 53 Section 6.03: Bonus Program: Criteria for Eligibility, Screening and Selection 53 Section 6.04: Bonus Program: Process for Application and Notification 54 Section 6.05: Master Teacher Corps Program 54.1

603 CMR 7.00: EDUCATOR LICENSURE AND PREPARATION PROGRAM APPROVAL 55

Section 7.01: Purpose and Authority 55 Section 7.02: Definitions 55 Section 7.03: Educator Preparation Program Approval 60 Section 7.04: Types of Educator Licenses, Requirements for Licensure, Licenses Issued, and Requirements for Field-based Experience 63 Section 7.05: Routes to Initial Teacher and Specialist Teacher Licenses 66 Section 7.06: Subject Matter Knowledge Requirements for Teachers 68 Section 7.07: Specialist Teacher Licenses 82.1 Section 7.08: Professional Standards for Teachers 84 Section 7.09: Licenses and Routes for Administrators 85 Section 7.10: Professional Standards for Administrative Leadership 89 Section 7.11: Professional Support Personnel Licenses 90 Section 7.12: Standards for Induction Programs for Teachers 90.2 Section 7.13: Standards for Induction Programs for Administrators 90.3 Section 7.14: Endorsements 90.3 Section 7.15: General Provisions 90.5

603 CMR 8.00: KINDERGARTENS: MINIMUM SCHOOL AGE 91

Section 8.01: Kindergartens 91 Section 8.02: Mandatory Minimum Age for School Attendance 91 Section 8.03: Waivers 91

(603 CMR 9.00: RESERVED) 93

4/11/14 603 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. 603 CMR: DEPARTMENT OF ELEMENTARY AND SECONDARY EDUCATION

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603 CMR 10.00: SCHOOL FINANCE 99

Section 10.01: Authority, Scope and Purpose 99 Section 10.02: Definitions 99 Section 10.03: Accounting and Reporting: School Districts 100.1 Section 10.04: Financial Accounting and Reporting: Other Municipal Departments 102 Section 10.05: Documentation Requirements 104 Section 10.06: Annual School Spending Requirements 105 Section 10.07: Special Education Payments and Reimbursements 106 Section 10.08: Transportation Reimbursement, Resident Students 109 Section 10.09: Transportation Reimbursement, School Choice, Homeless and Charter School Students 110 Section 10.10: Audit Procedures 111

(603 CMR 11.00 AND 12.00: RESERVED) 137

603 CMR 13.00: CERTIFICATION OF SUPERVISORS OF ATTENDANCE 145

Section 13.01: Phase III Requirements 145 Section 13.02: Conditions of Employment 145

603 CMR 14.00: EDUCATION OF ENGLISH LEARNERS 147

Section 14.01: Authority, Scope and Purpose 147 Section 14.02: Identification and Assessment of Students 147 Section 14.03: Census 147 Section 14.04: Placement of Students with Parental Waivers 148 Section 14.05: English Literacy and Fluency Requirements for Teachers of English Language Classrooms 148 Section 14.06: Parental Right of Enforcement 148 Section 14.07: Assignment of English Learners to Teachers in School Districts 149

(603 CMR 15.00 AND 16.00: RESERVED) 155

603 CMR 17.00: RACIAL IMBALANCE AND MAGNET SCHOOL PROGRAMS 167

Section 17.01: Definitions 167 Section 17.02: Eligibility 167 Section 17.03: Modification of Proposals 168 Section 17.04: Withholding of Funds 168 Section 17.05: Payment of Funds 168 Section 17.06: Use of Funds 168 Section 17.07: Compliance 168

603 CMR 18.00: PROGRAM AND SAFETY STANDARDS FOR APPROVED PUBLIC OR PRIVATE DAY AND RESIDENTIAL SPECIAL EDUCATION SCHOOL PROGRAMS 169

Section18.01: Authority, Scope and Purpose 169 Section18.02: Definitions 169 Section18.03: Requirements for Daily Care 170 Section18.04: Physical Facility and Equipment Requirements 174 Section18.05: Required Policies and Procedures 176

(603 CMR 19.00 THROUGH 22.00: RESERVED) 185

7/19/13 603 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. 603 CMR: DEPARTMENT OF ELEMENTARY AND SECONDARY EDUCATION

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603 CMR 23.00: STUDENT RECORDS 215

Section 23.01: Application of Rights 215 Section 23.02: Definition of Terms 215 Section 23.03: Collection of Data: Limitations and Requirements 217 Section 23.04: Personal Files of School Employees 217 Section 23.05: Privacy and Security of Student Records 217 Section 23.06: Destruction of Student Records 217 Section 23.07: Access to Student Records 218 Section 23.08: Amending the Student Record 220 Section 23.09: Appeals 220 Section 23.10: Notification 221 Section 23.11: Monitoring 221 Section 23.12: Severance Clause 221

(603 CMR 24.00 AND 25.00: RESERVED) 223

603 CMR 26.00: ACCESS TO EQUAL EDUCATIONAL OPPORTUNITY 231

Section 26.01: Purpose and Construction; Definition 231 Section 26.02: School Admissions 231 Section 26.03: Admission to Courses of Study 232 Section 26.04: Career and Educational Guidance 232 Section 26.05: Curricula 232 Section 26.06: Extra-curricular Activities 233 Section 26.07: Active Efforts 233 Section 26.08: Notification and Complaint Procedure 234 Section 26.09: Private Right of Enforcement 234

603 CMR 27.00: STUDENT LEARNING TIME 237

Section 27.01: Authority, Scope and Purpose 237 Section 27.02: Definitions 237 Section 27.03: School Year Requirements 238 Section 27.04: Structured Learning Time Requirements 238 Section 27.05: Early Release of High School Seniors 238.1 Section 27.06: Waivers 238.1 Section 27.07: Implementation 238.1

603 CMR 28.00: SPECIAL EDUCATION 239

Section 28.01: Authority, Scope and Purpose 239 Section 28.02: Definitions 239 Section 28.03: School District Administration and Personnel 242 Section 28.04: Referral and Evaluation 245 Section 28.05: The Team Process and Development of the IEP 249 Section 28.06: Placement and Service Options 252 Section 28.07: Parent Involvement 257 Section 28.08: Continuum of Options for Dispute Resolution 259 Section 28.09: Approval of Public or Private Day and Residential Special Education School Programs 261 Section 28.10: School District Responsibility 266

(603 CMR 29.00: RESERVED) 299

4/11/14 603 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. 603 CMR: DEPARTMENT OF ELEMENTARY AND SECONDARY EDUCATION

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603 CMR 47.00: LICENSURE OF ADULT BASIC EDUCATION TEACHERS AND PREPARATION PROGRAM APPROVAL

Section 47.01: Purpose and Authority 403 Section 47.02: Definitions 403 Section 47.03: Adult Basic Education Teacher Preparation Program Approval 405 Section 47.04: Adult Basic Education Panel Review for Licensure 408 Section 47.05: Types of Licenses, Requirements for Licensure, and Requirements for Field-based Experience 408 Section 47.06: Routes to Professional Licensure of Adult Basic Education Teachers 410 Section 47.07: Subject Matter Knowledge Requirements for Adult Basic Education Teachers 411 Section 47.08: Professional Standards for Adult Basic Education Teachers 412 Section 47.09: Standards for Orientation of Adult Basic Education Teachers 413 Section 47.10: Licensure Renewal and Professional Development for Adult Basic Education Teachers 414 Section 47.11: General Provisions 414

603 CMR 48.00: INNOVATION SCHOOLS 419

Section 48.01: Scope, Purpose, and Authority 419 Section 48.02: Definitions 419 Section 48.03: General Provisions 420 Section 48.04: Specific Provisions 420

603 CMR 49.00: NOTIFICATION OF BULLYING OR RETALIATION 423

Section 49.01: Authority 423 Section 49.02: Scope and Purpose 423 Section 49.03: Definitions and Terms 423 Section 49.04: Bullying and Retaliation Prohibited 424 Section 49.05: Notice to Parents 425 Section 49.06: Notice to Law Enforcement Agency 425 Section 49.07: Confidentiality of Records 425

603 CMR 50.00: EDUCATIONAL COLLABORATIVES 427

Section 50.01: Authority, Scope, and Purpose 427 Section 50.02: Definitions 427 Section 50.03: Department Approval 428 Section 50.04: Collaborative Responsibilities 430 Section 50.05: Training 431 Section 50.06: Collaborative Employees 432 Section 50.07: Finance 432 Section 50.08: Reporting 435 Section 50.09: Department Review of Educational Collaboratives 435 Section 50.10: Probationary Status, Suspension, and Revocation 436 Section 50.11: Dissolution 437 Section 50.12: General Provisions 437

603 CMR 51.00: CRIMINAL HISTORY CHECKS FOR SCHOOL EMPLOYEES 439

Section 51.01: Authority, Scope and Purpose 439 Section 51.02: Definitions 439 Section 51.03: Individuals Subject to a National Criminal History Check for Suitability Determinations 441 Section 51.04: School Employer Policies on National Criminal History Checks and Suitability Determinations; Confidentiality; Dissemination; Audit 441

4/11/14 603 CMR - 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. 603 CMR: DEPARTMENT OF ELEMENTARY AND SECONDARY EDUCATION

603 CMR 51.00: CRIMINAL HISTORY CHECKS FOR SCHOOL EMPLOYEES (continued)

Section 51.05: Timing of National Criminal History Checks 442 Section 51.06: Employer Documentation of Suitability Determination; Reliance Thereon; Subsequent Checks 443 Section 51.07: Reporting National Criminal History Check Results to the Commissioner 444

(PAGES 9 AND 10 ARE RESERVED FOR FUTURE USE.)

1/3/14 603 CMR - 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. 603 CMR: DEPARTMENT OF ELEMENTARY AND SECONDARY EDUCATION

603 CMR 1.00: CHARTER SCHOOLS

Section

1.01: Purpose 1.02: Definitions 1.03: General Provisions 1.04: Applications for and Granting of Charters 1.05: Student Recruitment, Enrollment, and Retention 1.06: Boards of Trustees and Staff 1.07: Funding 1.08: Reporting Requirements and Ongoing Review 1.09: Complaint Procedure 1.10: Amendments of Charters 1.11: Renewal of Charters 1.12: Conditions, Probation, Suspension, Revocation, and Non-renewal 1.13: Severability Clause

1.01: Purpose

The purpose of 603 CMR 1.00 is to provide uniform rules and procedures governing the establishment and operation of charter schools.

1.02: Definitions

As used in 603 CMR 1.00, unless the context clearly requires otherwise, terms shall have the following meanings:

Accountability Plan. A charter school creates an Accountability plan by the end of its first year of operation in accordance with guidelines issued by the Department. An Accountability Plan articulates the goals the school has set to measure its success.

Administrator. Any individual duly authorized by a charter school's board of trustees to manage the programs and operations of the charter school, or a network of schools, in accordance with its charter as well as federal and state laws and regulations.

Application Cycle. The period beginning with the availability of application information for charter schools and extending through the receipt of final charter school applications for review, ending no later than the following February when the Board of Elementary and Secondary Education makes final decisions on awarding new charters. The various stages of the application cycle occur in accordance with the schedule established by the Department of Elementary and Secondary Education.

Board. The Board of Elementary and Secondary Education or a person duly authorized by the Board.

Board of Trustees. Public agents authorized by the state to supervise and oversee a charter school or a network of charter schools. The boards of trustees shall be considered public employers for purposes of tort liability under M.G.L. c. 258. Boards of trustees of Commonwealth charter schools shall be considered public employers for collective bargaining purposes under M.G.L. c. 150E. In the case of Horace Mann charter schools, the school committee shall be considered the public employer for purposes of collective bargaining under M.G.L. c. 150E. A board of trustees may be authorized to hold more than one charter.

Campus. The location at which a charter school educates students. A charter school may have multiple locations under one charter.

Charter. A license issued by the Board under the provisions of M.G.L. c. 71, § 89, and 603 CMR 1.00, allowing the grantee to operate a charter school for a period of five years.

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Charter Applicant. As defined in M.G.L. c. 71, § 89(d), a charter applicant shall include but is not limited to: (a) a non-profit business or corporate entity; (b) two or more certified teachers; or (c) ten or more parents/guardians; provided, however, that for profit business or corporate entities shall be prohibited from applying for a charter. The charter school application may be filed in conjunction with a college, university, museum, or other similar non-profit entity, or any combination.

Charter School. A public school operated under a charter granted by the Board and refers to both Commonwealth and Horace Mann charter schools unless otherwise specified. A charter school is managed by a board of trustees and operates independent of any school committee. A Commonwealth charter school is considered a local education agency for all purposes. A Horace Mann charter school is a school or part of a school that operates under a charter approved and granted pursuant to 603 CMR 1.04. A Horace Mann charter school is considered a local education agency except for purposes of state aid, certain state and federal grant programs, collective bargaining, and any other purposes where such designation would conflict with law or regulation.

Commissioner. The Commissioner of Elementary and Secondary Education or the Commissioner's designee.

Department. The Department of Elementary and Secondary Education.

District. A city, town, or regional school district.

Memorandum of Understanding. A written agreement or agreements between or among a Horace Mann charter school, the school committee of the district in which the charter school is located, and the collective bargaining unit for the district that, at a minimum, defines any modifications of the relevant collective bargaining agreement(s), services, and facilities provided by the district to the charter school, and funding of the charter school by the district. The Memorandum of Understanding is a material term of the charter. The charter school must submit the Memorandum of Understanding to the Department for approval.

Network. Multiple charter schools overseen by a single board of trustees. Each charter school is granted its own charter.

Proven Provider. A Proven Provider is: (a) two or more persons who had primary or significant responsibility serving, for at least five years, in a leadership role in a school or similar program that has a record of academic success and organizational viability; (b) a non-profit education management organization or non-profit charter management organization, in operation for at least five years, that has a record of academic success and organizational viability; (c) the board of trustees of an existing charter school that has a record of academic success and organizational viability; or (d) an education management organization, charter management organization, or school support organization that has a record of academic success and organizational viability in operating or starting public schools with which an applicant proposes to contract. Qualifications for Proven Providers are described in 603 CMR 1.04(4).

Recruitment and Retention Plan. A charter school's written plan to recruit and retain diverse students under the provisions of M.G.L. c. 71, § 89, and 603 CMR 1.00. For the purposes of a Recruitment and Retention plan, retention shall be defined as the charter school's ability to maintain enrollment of its students with low turnover and limited attrition.

Regional Charter School. A charter school with a charter designating it as "regional" is required to give preference in enrollment to students residing in a specified region containing more than one district.

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1.02: continued

Sending District. A Massachusetts city, town, or regional school district in which a charter school student resides and where the student would otherwise attend a public school. If a charter school has a residential component, the sending district is the city, town, or regional school district in which the parent or legal guardian of the charter school student resides or, if no parent or legal guardian can be identified, the school district in which the student last attended school.

Sibling. Persons who have a common parent, either biologically or legally through adoption.

1.03: General Provisions

(1) Administrative Bulletins. The Board and the Department may issue advisories to interpret, implement, and provide guidance to charter schools.

(2) Waivers. The Board may waive provisions of 603 CMR 1.00 for good cause. If a charter applicant or charter school board of trustees makes a written request for a waiver, the Board may waive the applicability of one or more provisions of 603 CMR 1.00. These waivers shall be granted only under circumstances the Board deems exceptional and such waivers shall be granted only to the extent allowed by law. All such requests from the charter applicant or a board of trustees must: (a) be in writing, signed by the waiver applicant; (b) specify the provisions of 603 CMR 1.00 to be waived, the duration of the waiver, and the circumstances to which the waiver applies and the specific reason why a waiver is sought; (c) include a certification that the waiver applicant has made a good faith effort to comply with said provisions; and (d) be accompanied by supporting documentation considered sufficient by the Board to support the special circumstances or the need for relief. If the granting of a waiver would have an impact on sending districts or the district of the town or city in which the charter school is located, the Commissioner shall provide the superintendent of each district notice and an opportunity to comment.

(3) Prohibitions. Private and parochial schools are not eligible for charter school status. Charter schools shall not charge students an application fee or tuition. Charter schools shall not charge their students any fee related to the provision of required educational programs. Charter schools shall not charge any public school or public school district for the use of their curriculum, subject to the restrictions contained in any contract between charter schools and third party providers. For-profit businesses or corporate entities may not apply for a charter.

(4) Immediate Closure. The Commissioner may order immediate closure of a charter school facility where the health, safety, or education of the school's students is at risk. Additionally, the Commissioner may order immediate closure of a charter school facility where fire, health, or safety codes, regulations, laws, or accessibility requirements are not met.

1.04: Applications for and Granting of Charters

(1) Charter Application Process. Applicants shall submit to the Department application materials in accordance with the schedule, application form, and guidelines established by the Department for each type of charter school. Each applicant submitting application materials for a Commonwealth charter school shall also send a copy of the application to the superintendent of the school district(s) from which the applicant is expected to enroll students. (a) Horace Mann applications shall be accepted in three categories with the corresponding district approvals: 1. A Horace Mann I application may be submitted to create a new school, provided the application is submitted with the approval of the local collective bargaining unit and the school committee in the district in which it is located. All Horace Mann charters granted before January 2010 are considered Horace Mann I.

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1.04: continued

2. A Horace Mann II application may be submitted as a conversion of an existing public school provided the application is submitted with the approval of the school committee. Horace Mann II applications may be submitted at any time but shall participate in the application process in accordance with guidelines issued by the Department, with similar periods of time for review and charter granting. Horace Mann II charter schools may not open until completion of the opening procedures process. 3. A Horace Mann III application may be submitted to create a new school provided the application is submitted with the approval of the school committee. An agreement with the local collective bargaining unit is not required prior to Board approval of a Horace Mann III charter school. (b) All Horace Mann charter schools may be exempt from specified provisions of local collective bargaining agreements, provided that employees of the school will continue: 1. to be members of the local collective bargaining unit; 2. to accrue seniority; and 3. to receive at minimum, the salary and benefits established by the local collective bargaining agreement. Consistent with M.G.L. c. 71, § 89, Horace Mann charter school employees will be exempt from all agreed-upon provisions of the collective bargaining agreement and school committee policies to the extent provided by their charter and the Memorandum of Understanding with the local district or collective bargaining unit or as voted by teachers as defined in M.G.L. c. 71, § 89. (c) Applications for Horace Mann charter schools shall describe in the charter school application: 1. the type of Horace Mann charter the applicant seeks (I, II, III); 2. the proposed opening date of the charter school; 3. the elements of the local collective bargaining agreement that apply to employees of the school; and 4. the Memorandum of Understanding under which the charter school proposes to operate. (d) The Memorandum or Memoranda of Understanding must be consistent with M.G.L. c. 71, § 89; 603 CMR 1.00; and any guidelines issued by the Department and must include at a minimum: 1. the services, both instructional and non-instructional, that the local school district will provide to the charter school; 2. the facilities provided by the district; 3. any waivers to applicable collective bargaining agreements; and 4. financial information, including, but not limited to: a. the basis for calculating tuition; b. a method for determining the arrangements between the charter school and the district regarding costs of services; c. the date of the charter school's first annual budget allocation from the district, consistent with the allocation for other public schools in the district and the basis on which future tuition allocations will be made; d. the schedule for school district funds to be transferred into the charter school's bank account; e. responsibility for securing federal and state entitlement grants for the charter school; and f. the procedures to be used for resolving disputes.

(2) Review Process. The Department shall review application materials submitted in accordance with deadlines established by the Department. The role of any reviewer is solely advisory. Application materials will be reviewed and evaluated in accordance with criteria outlined in 603 CMR 1.04 and the charter school application itself. In addition, the Department will conduct interviews with all final applicants in order to better assess their qualifications and capacity to start and operate a charter school.

(3) Evaluation and Approval of Charter Applications. The Department reviews applications to ensure that the applicant has, at a minimum, demonstrated the capacity: (a) to further the purposes for establishment of charter schools specified in M.G.L. c. 71, § 89;

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1.04: continued

(b) to conform with M.G.L. c. 71, § 89, and all other applicable laws and regulations, including any guidelines the Board may issue, and including those related to English language learners and students with disabilities; (c) to meet its enrollment projections through demonstration of support for the proposed charter school in the communities from which students would be likely to enroll; (d) to implement its recruitment and retention plan; (e) to involve parents and guardians as partners in the education of their children; (f) to develop a proposed program that enhances options for students in the district(s) served; (g) to collaborate with and disseminate innovative practices to the school districts from which it draws students, if a Commonwealth charter, and with other schools in its district, if a Horace Mann charter; (h) to develop a management structure and plan which enables the charter school to achieve the goals and mission set forth in its charter, including information about proposed board members and the selection, roles, and responsibilities of the board of trustees; (i) to develop bylaws that govern the board of trustees consistent with M.G.L. c. 71, § 89; 603 CMR 1.00; and guidelines issued by the Department; (j) to develop a management structure and plan that enables the board of trustees to oversee a network of charter schools, including the roles and responsibilities of school leaders and administrators, if applicable; (k) to assure that students will meet the same performance standards and assessment requirements set by the Board for students in other public schools; (l) to develop an accountability plan that meets criteria established by the Department, at the end of the first year of the school's charter, establishing five-year performance objectives to help measure the school's progress and success in fulfilling the terms of its charter; (m) to administer its educational programs, school operations, and finances effectively; (n) to establish a process to provide to students, parents/guardians, the Board, other interested parties, and the public all information required by law and regulation, as well as to provide other information the Board may request; (o) to develop an enrollment policy consistent with M.G.L. c. 71, § 89, and 603 CMR 1.05; (p) to develop a recruitment and retention plan consistent with M.G.L. c. 71, § 89, and 603 CMR 1.05; (q) to ensure the thoroughness and accuracy of the charter school application; (r) to provide school facilities that comply with municipal building codes and other applicable laws and that are adequate to meet the school's program requirements; (s) to develop a board of trustees with the capacity to effectively govern the school and to effectively govern more than one school, if applicable; and (t) to build a network of charter schools, if applicable. If a charter is granted, the drafts of documents submitted during the application process are subject to Department review and approval during the opening procedures process, and the additional requirements in 603 CMR 1.04(7).

(4) Qualifications to Achieve Proven Provider Status. In school districts performing in the lowest 10% statewide and in which the 9% net school spending cap is or would be exceeded, applications will be considered only from Proven Providers. The Commissioner will determine and grant proven provider status. Applicants for Proven Provider status must meet the requirements in 603 CMR 1.02. The applicant must submit evidence, satisfactory to the Commissioner, to demonstrate a significant management or leadership role at a school or similar program that is an academic success, a viable organization, and relevant to the proposed charter school. (a) The applicant shall submit a detailed description of role(s) and responsibilities at the successful school(s) or program(s). (b) The applicant shall submit data demonstrating success in student academic performance and evidence of academic program success, including but not limited to: 1. Proficiency levels and growth measures on the Massachusetts comprehensive assessment system or equivalent assessments for all students and for one or more targeted subgroups as defined in M.G.L. c. 71, § 89(i)(3), which are similar to statewide averages in English Language Arts and mathematics for all students in Massachusetts in comparable grades, over no less than a three-year period for cohorts of students;

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2. Student performance on other standardized tests over no less than a three-year period for cohorts of students, if available, which demonstrates student achievement levels that are similar to statewide averages in English Language Arts and mathematics for all students in Massachusetts in comparable grades; 3. attendance, retention, and attrition data; 4. graduation and dropout data, if applicable; and 5. in-school and out-of-school suspension rates. (c) The applicant shall submit evidence of organizational viability, which shall include but not be limited to effective governance, effective financial management, effective implementation of recruitment and retention plans, if applicable, and compliance with applicable laws and regulations. (d) The applicant shall provide evidence to demonstrate that the successful school serves student population(s) similar to the population(s) to be served by the proposed charter, and that the program to be offered at the proposed charter is similar to, or represents a reasonable modification of the successful school. (e) Applicants shall provide any other information as required by the Department. For applicants with a current or previous relationship to a Massachusetts charter school, the Commissioner may consider all information related to such school's performance, including his evaluation in connection with each renewal of its charter.

(5) Public Comment. The Board and the Department shall hold a public hearing for final applications in the school district in which a proposed charter school is to be located in order to solicit and review comments on the application from the school committees of the school district(s) from which the applicant is expected to enroll students and the public at large. At least one member of the Board shall attend each public hearing soliciting comments on the merits of pending charter school applications and shall report to the Board on the public hearing.

(6) Granting of Charters. (a) The Board shall grant charters to charter boards of trustees under M.G.L. c. 71, § 89, and under such conditions and at such time as the Board specifies under 603 CMR 1.04. (b) The Board shall grant new charters in the month of February, except that for Horace Mann II schools as described in 603 CMR 1.04(1)(a)2., the Board may grant such charters at such other times as designated, dependent upon the intended opening date. (c) A charter granted by the Board shall be effective for five years, beginning July 1st of the first fiscal year in which the charter school enrolls students, unless revoked pursuant to M.G.L. c. 71, § 89, and 603 CMR 1.12. If no students are attending a charter school within 19 months from the date the charter was granted, the charter will be null and void, unless a waiver and extension is granted by the Board according to the process outlined in 603 CMR 1.03(2). (d) Should the Board elect to award fewer than the number of charters specified under M.G.L. c. 71, § 89 in any given cycle, the Board may grant those charters not awarded in subsequent application cycles in addition to the number of charters scheduled to be awarded and notwithstanding any limitations on the number of new charters authorized in such year. (e) The Board may award any charter revoked or returned to the Board in subsequent application cycles in addition to the number of charters scheduled to be awarded and notwithstanding any limitations on the number of new charters authorized in such year. (f) The Board will use the most recent United States Census estimate to determine the population of a city or town proposed as the location for a charter school. (g) Private and parochial schools shall not be eligible for charter school status. If members of a charter applicant group are on the governing board or management of a private or parochial school that plans to close or closes around the time of seeking a charter, it creates a rebuttable presumption that the private or parochial school seeks charter status for the purpose of securing public funding. To rebut this presumption, the applicant group must establish facts sufficient for the Department to determine that funding is not the primary reason they are seeking a charter while the private or parochial school is closing. In making a determination, the Department will compare the governance, management, and other characteristics of the private or parochial school and the governance, management, and other characteristics of the charter school, including but not limited to curriculum, student body, staff, leadership, location, and the financial plan for the school.

4/11/14 603 CMR - 12.4 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. 603 CMR: DEPARTMENT OF ELEMENTARY AND SECONDARY EDUCATION

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(7) Conditions for Opening New Charter Schools. Charters shall be awarded subject to the conditions listed in 603 CMR 1.04(3) and (7) and any additional conditions that the Board or Department may specify. The Board may temporarily waive such conditions and award a charter, provided that the applicant submits adequate written assurance that all such conditions will be met prior to the opening of the charter school. If a new charter school fails to comply with any such specified condition, the Commissioner may prohibit the school from opening. Upon receiving a charter, the charter school must successfully complete the opening procedures process specified by the Department. This process begins with the awarding of a new charter by the Board and ends in the following June when the school submits a draft Accountability Plan to the Department. Opening procedures requirements include, but are not limited to, provision of the following: (a) the terms of the proposed contract, for review and approval, in such cases where the board of trustees intends to procure substantially all educational services from another person or organization; (b) policies and procedures including, but not be limited to, approved bylaws, an enrollment policy, and a recruitment and retention plan; (c) criteria and procedures for suspension and expulsion of students; (d) written documentation that criminal background checks have been performed as required by state law; (e) written documentation that the facilities to be used by the charter school are approved for use as a school by the building inspector in the municipality in which the building is located; (f) written documentation that the facilities occupied by the charter school have been inspected by the Fire Department of the municipality in which the facilities are located; (g) written documentation that approval under M.G.L. c. 148 has been secured from the licensing authority of the municipality in which the building is located if explosives or flammable compounds or liquids are used in connection with courses taught at the school; and (h) written documentation that the school is in compliance with all other applicable federal and state health and safety laws and regulations, including evidence of compliance with any required insurance coverage.

(8) Information for Distribution of Public Funds. Upon receiving a charter, all charter schools shall provide the Department with a federal tax identification number issued solely to the charter school, and banking information regarding a bank account solely in the name of the charter school, as required by the State Treasurer for the transfer of public funds.

(9) Lowest 10%. The Commissioner shall annually publish a ranking of all districts that are subject to charter school tuition charges, for the purpose of determining the lowest 10% as specified in M.G.L. c. 71, § 89(i)(2) and (i)(3). Such ranking shall be calculated by determining the average ranks for each district's English language arts, mathematics, and science composite performance index; the percentage of students scoring warning or failing in English language arts, mathematics, and science; the percentage of students scoring advanced in English language arts, mathematics, and science; and student growth percentiles for English language arts and mathematics, for the two school years immediately preceding the current year. These calculations shall use weighting consistent with the Department's approved methodology for the state accountability system. Districts without data for each component of the calculation will not be included. Additional charter school seats resulting from a district's designation in the lowest 10% may be awarded by the Board to a new charter applicant, to existing charter schools, or to any combination thereof. The Board may provisionally award seats to new charter applicants and to existing charter schools that will become available in future years pursuant to the schedule set forth in St. 2010, c. 12, § 9, provided, that if a district is no longer in the lowest 10%, any remaining provisional seats may not be used.

(10) Seat Availability. In considering an application for the creation or expansion of a regional charter school, the board shall independently assess the availability of seats for each sending district within the proposed region, and may limit the number of students who may be enrolled from each such district.

4/11/14 603 CMR - 12.5 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. 603 CMR: DEPARTMENT OF ELEMENTARY AND SECONDARY EDUCATION

1.05: Student Recruitment, Enrollment, and Retention

(1) Recruitment and Retention Plan. A charter school must develop a plan that includes deliberate, specific strategies the school will use to attract, to enroll, and to retain a student population that is demographically comparable to similar grades in schools from which the charter school enrolls students. Charter schools shall submit recruitment and retention plans for approval by the Department that meet the requirements of M.G.L. c. 71, § 89; 603 CMR 1.05; and any guidelines issued by the Department.

(2) Non-discrimination. Charter schools shall not discriminate on the basis of race, color, national origin, creed, sex, gender identity, ethnicity, sexual orientation, mental or physical disability, age, ancestry, athletic performance, special need, proficiency in the English language or a foreign language, or prior academic achievement. For purposes of 603 CMR 1.05, gender identity shall mean a person's gender-related identity, appearance or behavior, whether or not that gender-related identity, appearance or behavior is different from that traditionally associated with the person's physiology or assigned sex at birth. Gender-related identity may be shown by providing evidence including, but not limited to, medical history, care or treatment of the gender-related identity, consistent and uniform assertion of the gender-related identity, or any other evidence that the gender-related identity is sincerely held as part of a person's core identity; provided, however, that gender-related identity shall not be asserted for any improper purpose.

(3) Enrollment Process and Applications for Admission. (a) Enrollment Process. Charter schools may not administer tests to potential applicants or predicate enrollment on results from any test of ability or achievement. Charter schools may not use financial incentives to recruit students. Requirements for enrollment in a charter school, including but not limited to attendance at informational meetings and interviews, shall not be designed, intended, or used to discriminate. Charter schools may not require potential students and their families to attend interviews or informational meetings as a condition of enrollment. (b) Application for Admission. Every charter school must submit its proposed application for admission, and any subsequent revisions, beyond changing dates indicated and correcting minor grammatical errors, to the Department for approval. (c) Principal Application Deadlines. Charter schools may not set any principal application deadlines or hold any enrollment lotteries for student admissions for the upcoming school year until after January 1st. Every charter school shall conclude its principal enrollment process no later than March 15th of each year.

(4) Written Notice. Charter schools shall notify all applicants in writing of the rights of students with diverse learning needs to attend the charter school and to receive accommodations and support services, including students who may have disabilities, require special education, or are English language learners. Charter schools must include this notice as part of the school's application and enrollment materials. Every charter school must make information regarding the availability of services for students generally available in the school's outreach materials, through the student handbook, and on the school's website.

(5) Application Deadlines. Charter schools shall give reasonable public notice, of at least one month, of all application deadlines.

(6) Enrollment in Commonwealth Charter Schools. In conformance with M.G.L. c. 71, § 89, enrollment in Commonwealth charter schools shall be conducted as follows: (a) In such cases where there are fewer spaces than eligible applicants, students shall be accepted for admission by a lottery process. (b) A Commonwealth charter school shall provide an enrollment preference to: 1. Siblings of students already attending the school; and 2. Students who reside in the city or town in which a Commonwealth charter school is located or, in the case of a regional charter school, to students who reside within the charter school's region. (c) If there are fewer spaces for admission to the charter school than eligible applicants, the charter school shall hold an enrollment lottery for all such applicants. (d) The Department shall notify each Commonwealth charter school no later than February 15th of any limitation(s) on the number of students from a district that may be enrolled in charter schools for the upcoming school year.

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(e) A charter school may initiate a request once a year for a mailing to the students enrolled in each district specified in the school's charter, and a district may initiate a request once a year for a mailing to the students enrolled in any charter school serving that district. When such a request is made, the district or school, as the case may be, shall provide the names and addresses of students within 30 days, in electronic format, to an approved third party mailing service. Any vendor listed on the statewide procurement or master services agreement for mailing services shall be deemed approved for the purposes of 603 CMR 1.05(6)(e). The district or school must provide parents or guardians with the opportunity to request that such information be withheld. The cost of copying and mailing shall be borne by the charter school or district requesting the mailing. Neither school districts nor charter schools shall charge for the provision of the required names and addresses. Charter schools shall provide any such mailing in the prevalent languages of the district. A language shall be deemed a prevalent language if it is the primary language of 1% or more of the district's total enrollment.

(7) Enrollment in Horace Mann Charter Schools. In conformance with M.G.L. c. 71, § 89, enrollment in a Horace Mann charter school shall be conducted as follows: (a) In such cases where there are fewer spaces for admission than eligible applicants, students shall be accepted for admission from among applicants by lottery. (b) In order of priorities, a Horace Mann charter school shall provide an enrollment preference to: 1. for the initial lottery, any students attending said school, or attending school in the school building previously occupied by said school, on the date that the final application is filed with the Board; 2. for the initial lottery, siblings of any students attending said school, or attending school in the school building previously occupied by said school, on the date that the final application is filed with the Board; 3. in all subsequent lotteries, siblings of students currently attending the school; 4. students who are currently enrolled in the public schools of the district in which the Horace Mann charter school is located; and 5. students who reside in the city or town in which the Horace Mann charter school is located.

(8) Repeat Enrollment Process. If the principal enrollment process fails to fill the available admission spaces, a school may repeat the process more than once, providing such process is fair and open and the school gives reasonable public notice at least one month prior to the application deadline. As spaces become available during the school year, a school may repeat the enrollment process to fill these openings and to meet the requirements of M.G.L. c. 70, § 89(n). No student entering an enrollment process may be admitted ahead of other eligible students who were previously placed on a wait list during a prior enrollment process, except in cases where enrollment preferences change or as described in to 603 CMR 1.05(10)(b). The total number of students attending a charter school in a given school year cannot exceed the total number of students reported to the Department in the previous spring in accordance with 603 CMR 1.08(5).

(9) Public Lotteries. All lotteries for charter school seats shall be conducted in a public place with a neutral party drawing names and with reasonable public notice given at least one week prior to the lottery. Such lotteries may be conducted electronically; in such cases a neutral party shall certify that the process is fair and that selection is random.

(10) Waitlist. Charter schools shall place the names of students not selected in an enrollment lottery on a wait list in the order the names are drawn. (a) Schools shall maintain waitlists only for the school year for which the students applied, provided that a charter school may choose to maintain any waitlists that were established prior to March 31, 2014 until such waitlists are exhausted, provided that such maintenance is clearly articulated in the school's enrollment policy approved by the Department. Charter schools must keep accurate records of their wait list containing students' names (first, middle, last), dates of birth, cities or towns of residence, and grades levels of students who entered the lottery but did not gain admission. When an offer of admission is made, reasonable proof of current residency or sibling status may be required at the time an offer of admission is made.

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(b) In cases where the enrollment of a student, who is not a sibling of another currently enrolled student, from the waitlist would exceed the district charter tuition cap, the student should be skipped over but kept on the waitlist. In cases where the enrollment of a student who is a sibling of a student already attending a charter school would exceed the district charter school tuition cap, the sibling may be enrolled with the Commonwealth of Massachusetts providing tuition for the sibling, subject to appropriation. (c) In conformance with M.G.L. c. 71, § 89, charter schools shall, when a student stops attending the school for any reason, fill vacant seats up to February 15th, excluding seats in the last half of the grades offered and grades 10, 11, and 12. If a school has an odd number of grades, more than half of grades offered shall be included in grades for which the school must fell vacant seats. A vacancy not filled after February 15th moves into the subsequent grade, to be filled the following September if such grade is not in the last half of the grades offered and is not grades 10, 11, or 12. Seats for students who have accepted an offer of admission in the charter school but have never attended are exempt from 603 CMR 1.05(10)(c).

(11) Integrated Enrollment Process. A school may integrate its enrollment process with that of the school district(s).

(12) Maximum Age and Thresholds. Each charter school shall specify age thresholds for kindergarten and maximum ages for high school programs, consistent with state and federal law.

(13) Multiple Campuses Under Single Charter. A charter school that operates multiple campuses under a single charter may assign students, in accordance with the charter school's enrollment policy, to a specific campus for reasons of geographic proximity, student safety, or program delivery.

1.06: Boards of Trustees and Staff

(1) Responsibilities of Board of Trustees. The board of trustees of a charter school holds the charter of the school and governs the school. Every board of trustees shall have a least five members. Boards of trustees are state governmental bodies. Boards of trustees must fulfill their fiduciary responsibilities, including but not limited to, the duty of loyalty and duty of care, as well as the obligation to oversee the school's budget. Boards of trustees shall not exercise managerial powers over the day-to-day operations of the school. Boards of trustees must ensure that schools operate in accordance with their charter, including any approved amendments. Boards of trustees must ensure that schools operate in compliance with all applicable state and federal laws. The responsibilities of boards of trustees shall include, but are not limited to the following: (a) Successfully completing the opening procedures process in accordance with M.G.L. c. 70, § 89; 603 CMR 1.00; and any guidelines issued by the Department; (b) Requesting the Commissioner's appointment of any new trustees; (c) Submitting the timely annual report; (d) Submitting the timely annual independent audit; (e) Hiring, evaluating, and removing, if necessary, qualified personnel to manage the charter school's day-to-day operations and holding these administrators accountable for meeting specified goals; (f) Approving and monitoring progress towards meeting the goals of the school's Accountability Plan; (g) Adopting and revising school policies, including plans for student recruitment and retention; (h) Responding to complaints in writing as required by 603 CMR 1.09; and (i) Ensuring that members of the board receive an orientation and training regarding their duties and obligations as members of a board of trustees.

(2) Bylaws. The bylaws of every board of trustees must comply with state and federal laws and contain provisions including, but not limited to: (a) specific, reasonable limits on successive or total terms for members of the board of trustees;

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(b) the exercise of due diligence in assessing the suitability of candidates for board membership with respect to potential conflicts of interest and areas of skills and expertise that will be of value to the board of trustees, such due diligence to occur prior to a vote by the board of trustees to request the Commissioner to appoint the proposed members; (c) frequency of board meetings, which must be held in Massachusetts, and occur at least quarterly; (d) compliance with the Commonwealth's open meeting law in M.G.L. c. 30A, including meeting all training requirements; (e) compliance by members of the board of trustees with the Commonwealth's state ethics requirements, including meeting all training requirements, filing all required disclosures under M.G.L. c. 268A, and the filing of statements of financial interest under M.G.L. c. 71, § 89(u); and (f) if the board includes one or two employees of the school as members of the board of trustees, the bylaws must explicitly identify these positions.

(3) Board of Trustees Training. Every member of the board of trustees shall, within one year of appointment, complete orientation concerning the responsibilities of their office, as determined by the Commissioner, and any other training required by other state agencies.

(4) Charter School Staff. Charter school teachers hired after August 10, 2000 must either: (a) take and pass, within their first year of employment at a charter school, the Massachusetts Tests for Educator Licensure; or (b) be already licensed to teach in Massachusetts.

1.07: Funding

(1) Horace Mann Charter Schools. Horace Mann charter schools shall be funded through the local school district under the terms of the Memorandum of Understanding. A Horace Mann charter school shall submit a budget request to the local school district annually, in accordance with the budget schedule of the local school district and no later than April 1st. Such budget request shall be submitted to the superintendent and school committee of the district in which the charter school is located. The school committee shall act on the charter school budget request in conjunction with its approval of the district's overall budget. The board of trustees of the Horace Mann charter school may expend such allocation as it sees fit without any further approval by the superintendent or school committee. A Horace Mann charter school's budget allocation shall be consistent with the allocation of other public schools in the district. In the case of budget reductions in the school district, a Horace Mann charter school's budget may not be reduced disproportionately to other schools in the district. The Horace Mann charter school board of trustees shall follow the dispute resolution procedures outlined in the Memorandum of Understanding. The board of trustees may appeal a disproportionate budget allocation to the Commissioner. The Commissioner then shall determine an equitable funding level for the charter school and, if appropriate, shall require the school committee to provide such funding.

(2) Commonwealth Charter Schools. Every operating Commonwealth charter school shall receive tuition payments from each school district whose students attend the charter school. Such tuition payments shall be equal to the appropriate charter school tuition rate, as determined in accordance with 603 CMR 1.07(2)(a), multiplied by the number of students attending the charter school from the sending district in the current year. If any students attend the charter school for less than the full school year, the tuition payment shall be reduced based on the number of days of enrollment. Such tuition payments shall be paid in accordance with 603 CMR 1.07(2)(d). (a) Foundation Budget and Commonwealth Charter Schools. For each sending district, a separate foundation budget dollar amount and charter school tuition rate shall be calculated as follows for each charter school to which the district sends students.

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1. The foundation budget dollar amount shall be calculated, based on the foundation budget factors used for the distribution of Chapter 70 aid in the current year, provided that the out-of-district special education tuition component of the foundation budget shall be excluded from the calculation. The student data for this calculation shall be the foundation enrollment information reported by the charter school as of October 1st of the prior school year. The tuition rate shall equal the foundation budget dollar amount divided by the number of students. If no students attended a particular charter school from a particular sending district in the prior year, then the sending district's average foundation budget per pupil will be used as the tuition rate. 2. Each tuition rate shall be increased by the ratio of the sending district's current year budgeted net school spending, as reported on schedule 19 of the Department's end of year pupil and financial returns, to the sending district's total current year foundation budget. Amounts reported on schedule 19 for out-of-district special education tuition and retired teachers' health insurance shall be excluded from this calculation. 3. Each tuition rate shall be increased by a per pupil capital needs component calculated in accordance with M.G.L. c. 71, § 89(ff), and each year's general appropriations act. (b) Facilities. Any amounts appropriated under line item 7010-0030 for the purpose of per pupil facilities aid for Commonwealth charter schools shall be used to reimburse sending districts for the capital component of the tuition payments, as calculated in 603 CMR 1.07(2)(a)3., but shall not affect the payments due to Commonwealth charter schools. (c) Tuition Rate. For each sending district, the sum of its tuition payment to each Commonwealth charter school, less any charter school capital facility reimbursement received pursuant to 603 CMR 1.07(2)(b), shall be used as the district's "total charter school tuition payment" for the purposes of M.G.L. c. 71, § 89(i), and shall be used as the district's "total charter school tuition amount" for the purposes of M.G.L. c. 71, § 89(gg). (d) Tuition Payment. The State Treasurer shall make monthly payments to Commonwealth charter schools. In making such payments, the Commonwealth shall reduce each sending district's M.G.L. c. 70 allocation by an amount sufficient to meet its charter school obligations for the month. If there are insufficient M.G.L. c. 70 funds to meet a district's obligation, the Commonwealth shall reduce other state aid allocated to the applicable cities and towns. If there are insufficient state aid funds of any kind to meet a district's obligation, the Board shall recommend to the Governor and legislature that a supplemental appropriation be made to pay any remaining obligation to the charter school(s). The Department shall notify both the Commonwealth charter school and the sending district(s) of the amount of these tuition payments. (e) Monthly Payments. The first five monthly payments to Commonwealth charter schools shall be based on each charter school's pre-enrollment report, filed with the Department pursuant to 603 CMR 1.08(5). The remaining monthly payments of each fiscal year shall be based on updated enrollment reports, submitted to the Department by each charter school. Failure to submit a required enrollment report or charter school claim form may result in the withholding of some or all of a charter school's monthly payment. Although each monthly payment is intended to equal approximately one twelfth of the projected annual amount, payments from December through June shall include adjustments to correct any over- or under-payments in earlier months of the fiscal year.

(3) Transportation. (a) All students who reside in the school district in which a charter school is located shall be provided transportation by the district, provided that either: 1. transportation is provided to district students in the same grade; or 2. transportation is required by the student's individualized education program. If a district provides an alternative means of transportation for its students in a particular grade, such as public transportation passes, it may do so for charter school students in that grade. A district may not limit transportation to charter school students based upon attendance zones or other geographic subdivisions of the district. The district shall accommodate the school day and school year specified in the school's charter, provided that the charter school shall make reasonable accommodations in setting its daily starting and ending times to foster cost-efficient transportation arrangements.

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(b) A charter school shall annually notify the district in which it is located of its projected transportation needs no later than February 1st prior to the start of the school year, provided that newly chartered schools shall provide such notification as soon as practicable following receipt of its charter. Charter schools shall update their projected transportation needs by April 1st based on pre-enrollment data. (c) If a district and a charter school are unable to reach agreement on the district's provision of transportation for all or some of the students attending said school, the charter school may provide its own transportation. The school shall make every reasonable effort to provide such transportation in the most cost effective manner possible, including but not limited to collaboration with the district. The school shall be reimbursed by the district for the actual costs incurred by the school or for the district's average per pupil cost for all in-district student transportation, whichever is less. Said reimbursements shall be subject to the Commissioner's approval and shall be paid through the Department's charter tuition payment process.

(4) Surplus Determination. Every Commonwealth charter school shall maintain a separate fund on its books of account for tuition revenue. The Commissioner, in consultation with the State Auditor, shall prescribe supplemental reports for the purpose of calculating the school's cumulative unspent tuition revenue, and such reports shall be submitted as part of the school's audited financial statements. Commonwealth charter schools are permitted to retain a reasonable surplus as working capital for the upcoming fiscal year equal to no more than 25% of the prior year's tuition payments plus 20% of the budgeted operating and capital expenses for the upcoming year. Payments of excess cumulative tuition revenue due to sending districts and the Commonwealth shall be made by the Commissioner through adjustments to monthly tuition payments and monthly distribution of charter 70 aid.

(5) Capital Plan and Reserves. A charter school may establish and periodically update a capital plan identifying current and future capital projects. The Commissioner shall prescribe the information to be reported for each such project as part of the school's annual report. A charter school may establish a separate capital reserve account for each project identified in its capital plan, and may make payments into said accounts. Funds in a capital reserve account may only be used for the project or purpose for which the account was established, provided, that such funds may be transferred to another capital reserve account or to the school's operating fund with the prior approval of the Commissioner.

1.08: Reporting Requirements and Ongoing Review

(1) Annual Report. A charter school shall submit an annual report to the Board and the local school committee and make available to every parent or guardian of its enrolled students and to every parent or guardian who expresses interest in enrolling in that charter school. Each charter school shall make the annual report available on its website. A network, as defined by 603 CMR 1.00, may submit a combined annual report provided that information for each school is reported discretely within the annual report to ensure that it complies with M.G.L. c. 71, § 89; 603 CMR 1.00; and any guidelines issued by the Department. The annual report shall be issued no later than August 1st of each year for the preceding school year. The annual report shall include the following information: (a) a financial statement setting forth by appropriate categories the unaudited revenue and expenditures for the year just ended, and a balance sheet setting forth the charter school's assets, liabilities, and fund balances or equities; (b) a capital plan identifying future planned capital projects and the amounts held in reserve for such projects; (c) a report on the school's implementation of its recruitment and retention plan for the relevant year; (d) an updated recruitment and retention plan for the upcoming school year that complies with guidelines issued by the Department; (e) projections of income and expenses for the upcoming school year; (f) discussion of progress made toward achievement of the goals of the charter and accountability plan;

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(g) evidence that the charter school is developing or has provided models for replication and best practices in education; and (h) such other information as the Board may require in guidelines.

(2) Site Visits. The Department may send evaluation teams to visit each charter school on an annual or on an as-needed basis to corroborate and augment the information provided in the annual report. The Department may conduct other site visits as necessary. Site visit teams may also gather any other evidence relevant to the school's performance. The written reports from these site visits shall become part of the charter school's record, along with any response that the school submits.

(3) Financial Audits. In accordance with M.G.L. c. 71, § 89, every charter school shall have an independent audit conducted of its accounts, consistent with generally accepted government auditing standards and any guidelines issued by the Department. Audits shall be filed annually by November 1st with the Department and the Office of the State Auditor. Districts are required to assist Horace Mann charter schools to the fullest extent possible in providing them in a timely fashion with the financial, payroll, and personnel records required for a complete audit. A network, as defined by 603 CMR 1.00, may submit a combined annual independent audit report, provided that each entities' financials are discretely presented within the audit report to ensure that it complies with M.G.L. c. 71, § 89; 603 CMR 1.00; and any guidelines issued by the Department.

(4) End of Year Financial Report: Every charter school shall submit an end of year financial report based on audited financial figures in accordance with guidelines issued by the Department.

(5) Enrollment Reports. Every charter school shall file a pre-enrollment report annually in accordance with deadlines established by the Department. Every charter school must keep accurate records related to enrollment including, but not limited to, applications for admission, the lottery process, and wait lists. The Department will report to districts the aggregate number of students who are selected for admission for the upcoming school year from their districts and the total enrollment for each charter school. No charter school shall receive tuition payments that exceed the total enrollment for that charter school as it was reported to the Department in the school's pre-enrollment report. In their pre-enrollment reports, charter schools must notify the Department of: (a) the school's total enrollment for the subsequent academic year; and (b) the projected number of students selected for admission, by grade and district of residence, for the subsequent academic year.

(6) Waitlist Reports. In accordance with M.G.L. c. 71, § 89(n); 603 CMR 1.05; and any guidelines established by the Department, every charter school shall submit to the Department, no later than June 1st, the list of students who entered the lottery but did not gain admission. The information provided must include, but is not limited to, students' names (first, middle, last), dates of birth, towns of residence, and grades. Every charter school must update this waitlist data as required by the Department.

(7) Enrollment Claim Forms. Each charter school shall submit reports of actual enrollment as of October 1st and March 1st. The reports shall be filed in accordance with guidelines and deadlines established by the Department.

(8) Additional Information and Reports. In addition to the requisite submissions as articulated in 603 CMR 1.00, charter schools must supply any additional information, data, or reports required by the Department or Board.

(9) Compliance. Every charter school shall submit written documentation related to compliance with building, health, safety, and insurance requirements and related to all such inspections and approvals are current.

4/11/14 603 CMR - 12.12 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. 603 CMR: DEPARTMENT OF ELEMENTARY AND SECONDARY EDUCATION

1.08: continued

(10) Investigations. Every charter school shall notify the Department in writing of all significant matters within two business days. Significant matters include, but are not limited to, all communications made or received by or on behalf of the school with any government audit, investigative, or law enforcement agency.

(11) Notification of New Circumstances. The charter school shall notify the Department in writing immediately of any change in circumstances that may have a significant impact on a charter school's ability to fulfill its goals or mission as stated in its charter. These include, but are not limited to: (a) changes in individuals holding school leadership positions, such as an executive director or principal; (b) a delay in implementing a minor or major amendment; (c) changes in location of the school's facilities within the same municipality and documentation of the school's compliance with state and federal laws, including, but not limited to, all fire, health, and safety laws and accessibility requirements for new facilities or renovations to existing facilities; (d) changes in officers of the school's board of trustees; (e) individuals resigning from the board of trustees; (f) changes in general contact information (phone number, mailing address, and email) for the school and the school's board of trustees; and (g) significant decreases in enrollment (more than 10% lower than any previously reported figure).

(12) Signatory Authorization. All information supplied to the Board, the Commissioner, or the Department by the charter school shall be signed by an individual with signatory authority. All such information is submitted under penalty of perjury.

1.09: Complaint Procedure

(1) A parent, guardian, or other individuals or groups who believe that a charter school has violated or is violating any provision of M.G.L. c. 71, § 89, or 603 CMR 1.00 may file a complaint with the charter school's board of trustees.

(2) The board of trustees shall respond in writing to the complaining party no later than 45 days from receipt of the complaint.

(3) The board of trustees shall, pursuant to a complaint received under 603 CMR 1.09, or on its own initiative, conduct reviews to ensure compliance with M.G.L. c. 71, § 89, and 603 CMR 1.00. The charter school and the specific individuals involved shall cooperate to the fullest extent with such review.

(4) A complaining party who believes a complaint pursuant to 603 CMR 1.09(1) has not been adequately addressed by the charter school board of trustees may submit the complaint in writing to the Commissioner, who shall investigate such complaint and make a written response.

(5) In the event the charter school is found in violation of M.G.L. c. 71, § 89, or 603 CMR 1.00, the Commissioner or Board may take such action deemed appropriate including, but not limited to, suspension or revocation of the charter, or referral of the matter to the District Attorney, the Office of the Attorney General, or other appropriate agencies for action.

(6) A parent, guardian, or other individuals or groups who believe that a charter school has violated or is violating any state or federal law or regulation regarding special education may file a complaint directly with the Department.

1.10: Amendments of Charters

Requests to amend the material terms of a school's charter must be voted on by the board of trustees and approved by the Commissioner or the Board before change is implemented.

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1.10: continued

(1) Amendments Requiring Board Approval. If a charter school plans to change the terms of its charter, the school's board of trustees shall vote on and submit to the Board a request in writing to amend its charter. Changes requiring approval by the Board before they can be implemented include: (a) Districts specified in the school's charter; (b) Maximum enrollment; (c) Grades served; and (d) Contractual relationships with an education management organization providing or planning to provide substantially all the school's educational services.

(2) Amendments Requiring Commissioner Approval. If a charter school plans to change the terms of its charter, the school's board of trustees shall vote on and submit to the Commissioner a request in writing to amend its charter. Changes requiring approval by the Commissioner before they can be implemented include: (a) School name; (b) Mission; (c) Governance or leadership structure; (d) Educational programs, curriculum models, or whole-school designs that are inconsistent with those specified in the school's charter; (e) Bylaws; (f) Membership of the board of trustees; (g) Memoranda of Understanding for Horace Mann charter schools; (h) Schedule (length of school year, school week, or school day); (i) Accountability Plan; (j) Enrollment policy and application for admission; (k) Expulsion policy; and (l) Location of facilities, if such change involves relocating to or adding a facility in another municipality or school district, in a district already specified in the school's charter.

(3) Consideration of Amendment Requests. The Commissioner and the Board may consider a charter school's compliance with applicable state, federal, and local law and evidence regarding the three areas set forth in 603 CMR 1.11(2) in reaching a determination regarding a school's request to amend its charter.

(4) Horace Mann Charter Schools. (a) Amendments by a Horace Mann charter school to its bylaws and members on its board of trustees shall be voted on by the school's board of trustees and the request submitted in writing to the Commissioner. Such changes require approval by the Commissioner before they can be implemented and do not require approval of the local collective bargaining unit and local school committee. (b) All other amendments, as described in 603 CMR 1.10(1) and (2), by Horace Mann I and III require the approval of the local collective bargaining unit and the local school committee prior to the submission of such requests to the Department. All other amendments by a Horace Mann II require approval of a majority of the school's faculty and the local school committee prior to the submission of such requests to the Department.

(5) Comment. If a Commonwealth charter school seeks an amendment to change its maximum enrollment, grades served, the municipality or school district of its location, or the districts specified in its region, the school shall send a copy of its amendment materials to the superintendent of the school districts from which the school enrolls or is expected to enroll students and certify to the Department that it has done so. The Department will solicit and review comments on the amendment request from the superintendents of the affected districts.

(6) Proven Provider. Boards of trustees seeking amendment requests to increase maximum enrollment in districts performing in the lowest 10% statewide, under M.G.L. c. 71, § 89, and in which the 9% net school spending cap is or would be exceeded, must meet the performance criteria described in 603 CMR 1.04(4).

4/11/14 603 CMR - 12.14 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. 603 CMR: DEPARTMENT OF ELEMENTARY AND SECONDARY EDUCATION

1.10: continued

(7) More than 20%: In accordance with M.G.L. c. 71 § 89(n), if more than 20% of the school's total enrollment for two consecutive years comes from school districts not included in its original charter, the school's board of trustees must file an amendment request to reflect its actual enrollment patterns.

(8) Review. Should the Commissioner deny an amendment request, the charter school's board of trustees may seek review of the Commissioner's decision by the Board.

1.11: Renewal of Charters

A charter school seeking renewal of its charter shall proceed as follows:

(1) Renewal Application. The charter school shall submit its application for renewal of a charter under 603 CMR 1.00 no earlier than March 1st of the third school year of the relevant charter and no later than August 1st after the end of the fourth school year of the relevant charter. The Board will review renewal applications pursuant to the criteria set forth below and in and M.G.L. c. 71, § 89. For renewal applications received on or before August 1st, the Department shall notify the charter applicant of the decision to renew or not to renew the charter and the reasons therefore no later than March 1st following receipt of the renewal application. The charter school may apply for renewal of its charter under renewal application guidelines issued by the Department. Applications for the renewal of Horace Mann charters must be submitted with the certification of a majority vote of the school committee and local collective bargaining unit.

(2) Renewal Guidelines. The Department shall issue guidelines describing the evaluation process to be followed in reviewing applications for charter renewal, including protocols for renewal inspections and performance criteria. The decision by the Board to renew a charter shall be based upon the presentation of affirmative evidence regarding the faithfulness of the school to the terms of its charter, including the extent to which the school has followed its recruitment and retention plan and has disseminated best practices in accordance with M.G.L. c. 71, § 89(dd); the success of the school's academic program; and the viability of the school as an organization. The Department will gather evidence regarding these issues from the renewal application and from other information, including but not limited to, a school's annual reports, financial audits, test results, site visit reports, and the renewal inspection report. All charter schools will be evaluated on the same performance criteria as provided in the guidelines, provided, however, that the criteria will take into account each school's charter and accountability plan. Evidence of academic success for all students is essential for charter renewal.

(3) Term of Charter. Charters that are renewed shall be for five years from the expiration of the previous charter under such conditions as the Board may establish under 603 CMR 1.04(7) and any additional conditions that the Board or Commissioner may specify. If a school fails to comply with any specified conditions, the Commissioner may recommend to the Board that the school be placed on probation or that the charter be revoked as described in 603 CMR 1.12. Charters of schools that do not file renewal applications shall expire at the end of the fifth year of the charter school's operation, subject to 603 CMR 1.12.

1.12: Conditions, Probation, Suspension, Revocation, and Non-renewal

(1) Conditions. The Board or Commissioner may impose conditions on a school's charter for violations of law or failure to make progress with student achievement, failure to adhere to and enhance its recruitment and retention plan, failure to comply with the terms of its charter, or failure to remain viable.

(2) Probation. The Board may place a charter school on probation if in its judgment the imposition of a condition alone would be insufficient to remediate the problem. The Board may impose conditions on the school's charter that require the school to address specific areas of concern. Placing a school on probation signals concern about the school's viability and permits the Board to suspend a school's charter immediately if the school fails to remedy the causes of its probation. The Department may require a charter school on probation to establish an escrow account in an amount determined by the Department in consultation with the charter school to pay for closing, legal, and audit expenses associated with closure should that occur.

4/11/14 603 CMR - 12.15 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. 603 CMR: DEPARTMENT OF ELEMENTARY AND SECONDARY EDUCATION

1.12: continued

(3) Suspension or Revocation. The Board may suspend or revoke a charter for cause including, but not limited to: (a) lack of evidence of academic success; (b) failure to comply substantially with the terms of the charter, with any of the applicable provisions of M.G.L. c. 71, § 89, or with any other applicable law or regulation; (c) a material misrepresentation in the application for approval or renewal of the charter; (d) financial insolvency; (e) misappropriation, conversion, mismanagement, or illegal withholding of funds or refusal to pay any funds that belong to any person otherwise entitled thereto and that have been entrusted to the charter school or its administrators in their fiduciary capacities; (f) fraud or gross mismanagement on the part of charter school administrators or board of trustees, including but not limited to, mismanagement of the educational program and failure to provide a healthy and safe environment for students; (g) criminal convictions on the part of the charter school administration or members of its board of trustees; or (h) failure to fulfill any conditions imposed by the Board in connection with the grant or renewal of a charter.

(4) Notification. Before the Board revokes a charter, it shall notify the charter school in writing that the Board intends to revoke the charter. A vote of intent to revoke or a vote to not renew a charter shall operate as a notice of the action and does not operate as an order to show cause. In the case of a Horace Mann charter, the Board shall also notify the district in which the school is located. Except in the case of an immediate suspension, the Board shall send the notice 60 days before the revocation takes effect.

(5) Hearing. Upon receiving a notice of intent to revoke a charter, notice of non-renewal, or notice of suspension where the health, safety, or education of the school's students is at immediate risk, the school shall have the rights provided in M.G.L. c. 30A, § 13, and 801 CMR 1.00: Standard Adjudicatory Rules of Practice and Procedure. Where hearings are provided by statutes, all requests for hearings shall be in writing, addressed to the Board, and must be received within 15 days of receipt by the charter school of notice. At such hearing, the school shall bear the burden of proof and present its case first.

(6) Withhold Payment. The Board may withhold payments to any charter school that fails to comply with conditions imposed on its charter, that has been placed on probation, or whose charter has been suspended, revoked, or not renewed.

(7) General Fund. Upon the revocation, non-renewal, or voluntary return of a Commonwealth charter, title to all of the property of the charter school shall immediately vest in the Commonwealth, subject to the rights of any secured party holding a perfected security interest in the property of such charter school. Any funds remaining after the satisfaction of the charter school's obligations shall be deposited in the General Fund.

(8) Closing Procedures. Charter schools must comply with the closing procedures established by the Department. Charter schools must begin planning for closure and compliance with closing procedures immediately upon issuance of a notice of intent to revoke the school's charter, a notice of non-renewal, or a notice of suspension. If the Commissioner determines that the board of trustees of a charter school needs additional expertise in fulfilling, or it fails to fulfill, its obligations under the closing procedures established by the Department, the Commissioner may appoint an individual or entity to assist with an orderly closure of the charter school. Such individual or entity may be paid out of the school's remaining funds, including the escrow account specified in 603 CMR 1.12.

(9) Debts and Liabilities. Upon closure of a charter school, the Commonwealth, the Board, and the Department assume no liability for any portion of any obligations, debts, or loans, or other liabilities of the board of trustees or of the charter school.

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1.12: continued

(10) Property. Upon the revocation, non-renewal, or voluntary return of a Horace Mann charter, title to all of the property of the charter school shall immediately vest in the school district in which the school is located, subject to the rights of any secured party holding a perfected security interest in the property of such charter school.

1.13: Severability Clause

If any section or portion of a section of 603 CMR 1.00, or the applicability of 603 CMR 1.00 to any person, entity or circumstance is held invalid by a court, the remainder of 603 CMR 1.00 or the applicability of such provisions to other persons, entities or circumstances shall not be affected thereby.

REGULATORY AUTHORITY

603 CMR 1.00: M.G.L. c. 69, § 1B, and c. 71, § 89.

4/11/14 603 CMR - 12.17 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. 603 CMR: DEPARTMENT OF ELEMENTARY AND SECONDARY EDUCATION

NON-TEXT PAGE

4/11/14 603 CMR - 12.18 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. Docket # 380

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 603 CMR 28.00

CHAPTER TITLE: Special Education

AGENCY: Department of Elementary and Secondary Education

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. 603 CMR 28.00 governs the provision by Massachusetts public schools of special education and related services to eligible students and the approval of public or private day and residential schools seeking to provide special education services to publicly funded eligible students.

The current amendments are technical amendments to ensure consistency with the law on virtual schools, M.G.L. c. 71, s. 94.

REGULATORY AUTHORITY: M.G.L. c. 69, s. 1B; c. 71B; and c. 71, s. 94

AGENCY CONTACT: Luis Rodriguez PHONE: 781-338-3247

ADDRESS: 75 Pleasant Street, Malden, MA 01248

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. Joint Committee on Education, 12/18/13; Massachusetts Municipal Association, 12/18/13; Department of Housing and Community Development, 12/18/13; Executive Order 485 met.

PUBLIC REVIEW - M.G.L. c. 30A sections 2 and/or 3 requires notice of the hearing or comment period, including a small business impact statement, 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: 1/3/14 - 1/24/14

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 107 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:

For the first five years:

No fiscal effect: XX

SMALL BUSINESS IMPACT - M.G.L. c. 30A section 5 requires each agency to file an amended small business impact statement with the Secretary of the Commonwealth prior to the adoption of a proposed regulation. If the purpose of this regulation is to set rates for the state, this section does not apply.

Date amended small business impact statement was filed: 3/13/14

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

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: Amend 603 CMR 28.00

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: Mar 27 2014

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1258 DATE: 04/11/2014

EFFECTIVE DATE: 04/11/2014

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: 239 - 242 239 - 242 267, 268 267, 268

03/28/2014 cm

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 108 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 603 CMR: DEPARTMENT OF ELEMENTARY AND SECONDARY EDUCATION

603 CMR 28.00: SPECIAL EDUCATION

Section

28.01: Authority, Scope and Purpose 28.02: Definitions 28.03: School District Administration and Personnel 28.04: Referral and Evaluation 28.05: The Team Process and Development of the IEP 28.06: Placement and Service Options 28.07: Parent Involvement 28.08: Continuum of Options for Dispute Resolution 28.09: Approval of Public or Private Day and Residential Special Education School Programs 28.10: School District Responsibility

28.01: Authority, Scope and Purpose

(1) 603 CMR 28.00 is promulgated pursuant to the authority of the Board of Elementary and Secondary Education under M.G.L. c. 69, § 1B, and c. 71B.

(2) 603 CMR 28.00 governs the provision by Massachusetts public schools of special education and related services to eligible students and the approval of public or private day and residential schools seeking to provide special education services to publicly funded eligible students. The requirements set forth in 603 CMR 28.00 are in addition to, or in some instances clarify or further elaborate, the special education rights and responsibilities set forth in state statute (M.G.L. c. 71B), federal statute (20 U.S.C. §1400 et seq., and federal regulations (34 CFR § 300 et seq.).

(3) The purpose of 603 CMR 28.00 is to ensure that eligible Massachusetts students receive special education services designed to develop the student’s individual educational potential in the least restrictive environment in accordance with applicable state and federal laws.

28.02: Definitions

Approved Private Special Education School or Approved Program shall mean a private day or residential school, within or outside Massachusetts, that has applied to, and received approval from, the Department according to the requirements specified in 603 CMR 28.09.

Approved Public Special Education School shall mean a program operated by a public school or an educational collaborative providing full day or residential special education services to eligible students in a facility serving primarily students with disabilities. Such program shall be approved when it has applied to, and received approval from, the Department according to the requirements specified in 603 CMR 28.09.

Certified Special Educator shall mean a person with a teaching certificate or license in an area of special education or a related service provider with appropriate certification or license in his or her professional area. Licensure shall meet the requirements of the 603 CMR 7.00: Educator Licensure and Preparation Program Approval and the requirements for renewal of license at 603 CMR 44.00: Recertification, as necessary. A certified or licensed special educator may provide, design, or supervise special education services.

Consent shall mean agreement by a parent who has been fully informed of all information relevant to the activity for which consent is sought, in his/her native language or other mode of communication, understands and agrees in writing to the carrying out of the activity, and understands that the granting of consent is voluntary and may be revoked at any time. The consent describes the activity and lists the records (if any) that will be released and to whom.

Day shall mean calendar day unless 603 CMR 28.00 specifies school day, which shall mean any day, including a partial day, that students are in attendance at school for instructional purposes.

Department shall mean the Massachusetts Department of Elementary and Secondary Education.

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28.02: continued

Disability shall mean one or more of the following impairments: (a) Autism. A developmental disability significantly affecting verbal and nonverbal communication and social interaction. The term shall have the meaning given it in federal law at 34 CFR § 300.8(c)(1). (b) Developmental Delay. The learning capacity of a young child (three through nine years old) is significantly limited, impaired, or delayed and is exhibited by difficulties in one or more of the following areas: receptive and/or expressive language; cognitive abilities; physical functioning; social, emotional, or adaptive functioning; and/or self-help skills. (c) Intellectual Impairment. The permanent capacity for performing cognitive tasks, functions, or problem solving is significantly limited or impaired and is exhibited by more than one of the following: a slower rate of learning; disorganized patterns of learning; difficulty with adaptive behavior; and/or difficulty understanding abstract concepts. Such term shall include students with mental retardation. (d) Sensory Impairment. The term shall include the following: 1. Hearing Impairment or Deaf. The capacity to hear, with amplification, is limited, impaired, or absent and results in one or more of the following: reduced performance in hearing acuity tasks; difficulty with oral communication; and/or difficulty in understanding auditorally-presented information in the education environment. The term includes students who are deaf and students who are hard-of-hearing. 2. Vision Impairment or Blind. The capacity to see, after correction, is limited, impaired, or absent and results in one or more of the following: reduced performance in visual acuity tasks; difficulty with written communication; and/or difficulty with understanding information presented visually in the education environment. The term includes students who are blind and students with limited vision. 3. Deafblind. Concomitant hearing and visual impairments, the combination of which causes severe communication and other developmental and educational needs. (e) Neurological Impairment. The capacity of the nervous system is limited or impaired with difficulties exhibited in one or more of the following areas: the use of memory, the control and use of cognitive functioning, sensory and motor skills, speech, language, organizational skills, information processing, affect, social skills, or basic life functions. The term includes students who have received a traumatic brain injury. (f) Emotional Impairment. As defined under federal law at 34 CFR § 300.8(c)(4), the student exhibits one or more of the following characteristics over a long period of time and to a marked degree that adversely affects educational performance: an inability to learn that cannot be explained by intellectual, sensory, or health factors; an inability to build or maintain satisfactory interpersonal relationships with peers and teachers; inappropriate types of behavior or feelings under normal circumstances; a general pervasive mood of unhappiness or depression; or a tendency to develop physical symptoms or fears associated with personal or school problems. The determination of disability shall not be made solely because the student's behavior violates the school's discipline code, because the student is involved with a state court or social service agency, or because the student is socially maladjusted, unless the Team determines that the student has a serious emotional disturbance. (g) Communication Impairment. The capacity to use expressive and/or receptive language is significantly limited, impaired, or delayed and is exhibited by difficulties in one or more of the following areas: speech, such as articulation and/or voice; conveying, understanding, or using spoken, written, or symbolic language. The term may include a student with impaired articulation, stuttering, language impairment, or voice impairment if such impairment adversely affects the student’s educational performance. (h) Physical Impairment. The physical capacity to move, coordinate actions, or perform physical activities is significantly limited, impaired, or delayed and is exhibited by difficulties in one or more of the following areas: physical and motor tasks; independent movement; performing basic life functions. The term shall include severe orthopedic impairments or impairments caused by congenital anomaly, cerebral palsy, amputations, and fractures, if such impairment adversely affects a student’s educational performance.

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28.02: continued

(i) Health Impairment. A chronic or acute health problem such that the physiological capacity to function is significantly limited or impaired and results in one or more of the following: limited strength, vitality, or alertness including a heightened alertness to environmental stimuli resulting in limited alertness with respect to the educational environment. The term shall include health impairments due to asthma, attention deficit disorder or attention deficit with hyperactivity disorder, diabetes, epilepsy, a heart condition, hemophilia, lead poisoning, leukemia, nephritis, rheumatic fever, and sickle cell anemia, if such health impairment adversely affects a student’s educational performance. (j) Specific Learning Disability. The term means a disorder in one or more of the basic psychological processes involved in understanding or in using language, spoken or written, that may manifest itself in an imperfect ability to listen, think speak, read, write, spell, or to do mathematical calculations. Use of the term shall meet all federal requirements given in federal law at 34 CFR §§ 300.8(c)(10) and 300.309.

District or School District shall mean a Massachusetts municipal school department or regional school district, acting through its school committee or superintendent of schools; a county agricultural school, acting through its board of trustees or superintendent/director; and any other Massachusetts public school established by statute, certificate, or charter, acting through its governing board or director. School districts have programmatic and financial responsibility in accordance with the procedures of 603 CMR 28.10.

Eligible Student shall mean a person three through 21 years of age who has not attained a high school diploma or its equivalent, who has been determined by a Team to have a disability(ies), and as a consequence is unable to progress effectively in the general education program without specially designed instruction or is unable to access the general curriculum without a related service. An eligible student shall have the right to receive special education and any related services that are necessary for the student to benefit from special education or that are necessary for the student to access the general curriculum. In determining eligibility, the school district must thoroughly evaluate and provide a narrative description of the student’s educational and developmental potential.

In-district Program shall mean a special education program operated in a public school building or other facility that provides educational services to students of comparable age, with and without disabilities. (a) or young children ages three to five years, the term shall include programs provided by the public school in the eligible child’s home if such setting has been identified by the Team as the natural or least restrictive setting to deliver the services on the child’s IEP. (b) For students three through 21 years of age, the term shall include programs provided by the district in a home or hospital setting if such setting is required by the student’s physician and the student would otherwise have been served in an in-district program. (c) For students aged 14 years of age or older, when the Team has determined that a vocational program is appropriate, work settings shall be considered in-district programs if such programs offer ongoing opportunities for students to interact with community members and/or other workers without disabilities engaging in similar activities. (d) A program operated solely by an individual, not for profit corporation or agency, or proprietary corporation shall not be considered an in-district program unless it is located within a public school building.

Individualized Education Program (IEP) shall mean a written statement, developed and approved in accordance with federal special education law in a form established by the Department that identifies a student's special education needs and describes the services a school district shall provide to meet those needs.

Least Restrictive Environment (LRE) shall mean the educational placement that assures that, to the maximum extent appropriate, students with disabilities, including students in public or private institutions or other care facilities, are educated with students who are not disabled, and that special classes, separate schooling, or other removal of students with disabilities from the general education environment occurs only when the nature or severity of the student’s disability is such that education in regular classes with the use of supplementary aids and services cannot be achieved satisfactorily.

4/11/14 603 CMR - 241 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 603 CMR: DEPARTMENT OF ELEMENTARY AND SECONDARY EDUCATION

28.02: continued

Notice shall mean the notice and content required in accordance with the federal special education law whenever the school district proposes or refuses to initiate or change the identification, evaluation, or educational placement or the provision of special education services to the student.

Out-of-district Program shall mean a special education program located in a building or facility outside of the general education environment that provides educational services primarily to students with disabilities and shall include all programs approved under 603 CMR 28.09. Such program may be operated by a private organization or individual, a public school district, or a collaborative.

Parent shall mean father or mother. For purposes of special educational decision-making, parent shall mean father, mother, legal guardian, person acting as a parent of the child, foster parent, or an educational surrogate parent appointed in accordance with federal law. Legal authority of the parent shall transfer to the student when the student reaches 18 years of age.

Program School shall mean the school in which the student is enrolled according to the provisions of M.G.L. c. 71, § 89 (charter schools); M.G.L. c. 71, § 94 (Commonwealth of Massachusetts virtual schools); M.G.L. c. 74 (vocational schools); M.G.L. c. 76, § 12A (Metco) or M.G.L. c. 76, § 12B (school choice), and shall not include schools approved under 603 CMR 28.09 or institutional school programs as described in 603 CMR 28.06(9).

Progress Effectively in the General Education Program shall mean to make documented growth in the acquisition of knowledge and skills, including social/emotional development, within the general education program, with or without accommodations, according to chronological age and developmental expectations, the individual educational potential of the student, and the learning standards set forth in the Massachusetts Curriculum Frameworks and the curriculum of the district. The general education program includes preschool and early childhood programs offered by the district, academic and non-academic offerings of the district, and vocational programs and activities.

Related Services shall have the meaning set forth in federal special education law at 34 CFR § 300.34. Individuals providing interpreting services for students who are deaf or hard of hearing shall be registered with the Massachusetts Commission for the Deaf and Hard of Hearing.

State Agency shall mean a Massachusetts state agency.

Special Education shall mean specially designed instruction to meet the unique needs of the eligible student or related services necessary to access the general curriculum and shall include the programs and services set forth in state and federal special education law.

Team shall mean a group of persons, meeting participant requirements of federal special education law as provided at 34 CFR §§ 300.321 and 300.116(a)(1), who, together, discuss evaluation results, determine eligibility, develop or modify an IEP, or determine placement.

28.03: School District Administration and Personnel

(1) General Responsibilities of the School District. (a) General. Each school district shall provide or arrange for the provision of special education and related services for eligible students in accordance with the provisions of state and federal law and regulation. 1. The school district shall provide training to all school district staff, including general and special educators, administrators, and paraprofessionals, on the requirements of special education. 2. The school district shall provide such staff training in analyzing and accommodating diverse learning needs of all students in the general education classroom. 3. The school district shall provide such staff training in methods of collaboration among teachers, paraprofessionals, and teacher assistants to accommodate diverse learning needs.

4/11/14 603 CMR - 242 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 603 CMR: DEPARTMENT OF ELEMENTARY AND SECONDARY EDUCATION

28.10: continued

(c) When a student lives and receives educational services in an institutional facility operated by or, through contract, authorized by the Department of Mental Health, the Department of Public Health, the Department of Youth Services, or the Department of Correction or County House of Correction, except as provided below. 1. If an eligible student requiring in-district services had been placed or resided in a Department of Children and Families foster home for at least three months before entering the institutional facility, the school district in which the student was enrolled before entering the facility shall remain programmatically responsible and the school district where the parents reside shall be financially responsible. 2. If a student is 18 years of age or older and has established his or her own residence as an adult, the school district where the student resided prior to entering the institutional facility shall remain programmatically and fiscally responsible. (d) When a student whose IEP requires in-district services is placed by the Department of Children and Families in an approved residential school, programmatic and financial responsibility will be with the district where the parent(s) or legal guardian resides. The school district of the city, town or regional school district where such approved residential special education school is located shall provide educational and special educational services to the student in accordance with his or her IEP, shall participate in any Team meetings convened by the school district where the parent(s) or legal guardian resides and shall receive reimbursement from the school district where the parent(s) or legal guardian resides for such services using the procedures of 603 CMR 10.07 to calculate such costs, including transportation expenses where applicable.

(4) Shared School District Responsibility. The school district where the parent(s) or legal guardian resides shall have financial responsibility and the school district where the student resides shall have programmatic responsibility when a student is in a living situation other than that described in 603 CMR 28.10(2) or (3) including but not limited to a relative's home that is not funded by the Department of Children and Families, a foster home funded by the Department of Children and Families that is located outside of Massachusetts, a group home, or a residence or crisis or respite facility funded or supervised by a state agency. (a) When such a student is served in an in-district program, the school district where the student lives shall provide such services and may bill and shall receive payment for the special education costs (using the procedures of 603 CMR 10.07 to calculate such costs, including transportation expenses where applicable) from the school district where the parent(s) or legal guardian resides, unless such student is over 18 years of age and has established his or her own residence as an adult as described in 603 CMR 28.10(2)(b). (b) When such a student is served in an out-of-district program, the school district where the parent(s) or legal guardian resides shall pay the tuition costs for the student’s IEP program directly to the out-of-district school, and such other payments as may be required to other individuals or entities that provide services required by the student’s IEP. (c) In all cases where financial and programmatic responsibility are shared, the school district where the student resides shall invite the school district where the parent(s) or legal guardian resides to participate as a member of the student's Team, provided that such participation shall not limit the student's right to timely evaluation and placement in accordance with 603 CMR 28.00.

(5) Responsibility for Homeless Students. Nothing in 603 CMR 28.00 shall limit the educational rights of homeless students and parents afforded under the McKinney-Vento Homeless Assistance Act, 42 U.S.C. § 11431 et seq. (McKinney-Vento). The following provisions apply to these students. (a) Homeless students shall be entitled to either continue to attend their school of origin, as defined by McKinney-Vento, or attend school in the city or town where they temporarily reside. To the extent feasible, homeless students should remain in their school of origin unless doing so is contrary to the wishes of such student's parent(s) or legal guardian or state agency with care or custody of the student.

5/27/11 603 CMR - 267 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 603 CMR: DEPARTMENT OF ELEMENTARY AND SECONDARY EDUCATION

28.10: continued

(b) The school district(s) that was programmatically and financially responsible prior to the student becoming homeless shall remain programmatically and financially responsible for a homeless student until the parent(s) or legal guardian or state agency with care or custody of the student chooses to enroll the student in the school district where the shelter or temporary residence is located. When a student whose IEP requires in-district services is enrolled in the school district where the student is temporarily residing, then that school district shall become programmatically and financially responsible upon enrollment. When a student whose IEP requires out-of-district services is enrolled in the school district where the student is temporarily residing, then that school district shall become programmatically responsible upon enrollment and the school district(s) that was financially responsible prior to the student becoming homeless shall remain financially responsible until the student is no longer homeless.

(6) Program Schools. A program school shall have programmatic and financial responsibility for enrolled students, subject only to specific finance provisions of any pertinent state law related to the program school. Specific provisions for program schools are as follows: (a) For charter schools, Commonwealth of Massachusetts virtual schools, vocational schools, or schools attended under M.G.L. c. 76, § 12A (Metco), when the Team determines that the student may need an out-of-district placement, the Team shall conclude the meeting pursuant to 603 CMR 28.06(2)(e) without identifying a specific placement type, and shall notify the school district where the student resides within two school days. 1. Upon a determination as in 603 CMR 28.10(6)(a), the program school shall schedule another meeting to determine placement, and shall invite representatives of the school district where the student resides to participate as a member of the placement team pursuant to 603 CMR 28.06(2)(e)1. 2. The Team meeting convened by the program school shall first consider if the school district where the student resides has an in-district program that could provide the services recommended by the Team, and if so, the program school shall arrange with the school district where the student resides to deliver such services or develop an appropriate in-district program at the program school for the student. 3. If the placement Team, in accordance with the procedures of 603 CMR 28.06(2)(e), determines that the student requires an out-of-district program to provide the services identified on the student’s IEP, then the placement proposed to the parent shall be an out- of district day or residential school, depending on the needs of the student. Upon parental acceptance of the proposed IEP and proposed placement, programmatic and financial responsibility shall return to the school district where the student resides. The school district where the student resides shall implement the placement determination of the Team consistent with the requirements of 603 CMR 28.06(3). (b) For schools attended pursuant to M.G.L. c. 76, § 12B (school choice), such schools may bill and receive payment from the school district where the student resides for the costs of out-of-district placements made by the program school. The program school shall invite the school district where the student resides to participate as a member of the student’s Team and shall provide notice of the Team meeting at least five school days prior to the meeting, provided that such participation shall not limit the student’s right to a timely evaluation and placement in accordance with 603 CMR 28.00. (c) A Vocational school shall not discriminate in the enrollment of students with disabilities. 1. A vocational school may not accept students with disabilities on a conditional basis unless the vocational school has procedures that ensure that the reasons for conditional acceptance are equally applied to students without disabilities. 2. A vocational school may serve as an “evaluation site” for a student requiring an extended evaluation under the provisions of 603 CMR 28.05(2)(b) if the evaluative information that is required is primarily vocational in nature. In such circumstances, the student is not considered enrolled in the vocational school, nor shall an extended evaluation be considered a temporary placement. For the duration of the extended evaluation the student shall be considered enrolled in the public school district in which he or she was enrolled prior to the extended evaluation.

4/11/14 603 CMR - 268 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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 # 381

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 603 CMR 48.00

CHAPTER TITLE: Innovation Schools

AGENCY: Department of Elementary and Secondary Education

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. The Innovation Schools Regulations provide uniform rules and procedures governing the establishment of innovation schools.

The current amendments repeal the provisions relating to virtual innovation schools, in accordance with those provisions of Chapter 379 of the Acts of 2012, which eliminated virtual innovation schools and replaced such schools with Commonwealth Virtual Schools.

REGULATORY AUTHORITY: M.G.L. c. 69, s. 1B, c. 71, s. 92 and Chapter 379 of the Acts of 2012

AGENCY CONTACT: Luis Rodriguez PHONE: 781-338-3247

ADDRESS: 75 Pleasant Street, Malden, MA 02148

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. Joint Committee on Education, 12/18/13; Massachusetts Municipal Association, 12/18/13; Department of Housing and Community Development, 12/18/13; Requirements of Executive Order 485 met.

PUBLIC REVIEW - M.G.L. c. 30A sections 2 and/or 3 requires notice of the hearing or comment period, including a small business impact statement, 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: 1/3/14 - 1/24/14

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 109 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:

For the first five years:

No fiscal effect: XX

SMALL BUSINESS IMPACT - M.G.L. c. 30A section 5 requires each agency to file an amended small business impact statement with the Secretary of the Commonwealth prior to the adoption of a proposed regulation. If the purpose of this regulation is to set rates for the state, this section does not apply.

Date amended small business impact statement was filed: 3/13/14

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

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: Amend 603 CMR 48.00

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: Mar 27 2014

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1258 DATE: 04/11/2014

EFFECTIVE DATE: 04/11/2014

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: 419 - 422.2 419 - 422

03/28/2014 cm

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 110 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 603 CMR: DEPARTMENT OF EDUCATION

603 CMR 48.00: INNOVATION SCHOOLS

Section

48.01: Scope, Purpose, and Authority 48.02: Definitions 48.03: General Provisions 48.04: Specific Provisions

48.01: Scope, Purpose, and Authority

(1) Purpose. The purpose of 603 CMR 48.00 is to provide uniform rules and procedures governing the establishment of innovation schools.

(2) Authority. 603 CMR 48.00 is promulgated under the authority of M.G.L. c. 69, § 1B and M.G.L. c. 71, § 92.

48.02: Definitions

As used in 603 CMR 48.00, unless the context clearly requires otherwise, terms shall have the following meanings:

Academy. An innovation program situated within an existing public school. The academy operates different instructional and other programs from the school in which it is situated. The academy will be included in the reporting of the school within which it is situated for the purposes of enrollment, accountability, and other school-level determinations. Students in innovation academies will receive a program code from the Department of Elementary and Secondary Education to facilitate monitoring of outcomes of the initiative.

Board. The Board of Elementary and Secondary Education or a person duly authorized by the Board.

Commissioner. The Commissioner of Elementary and Secondary Education or his or her designee.

Department. The Department of Elementary and Secondary Education.

Eligible Student. A person eligible to enroll in a Massachusetts public school who is younger than 22 years old and who has not attained a high school diploma or its equivalent.

Innovation Plan. An educational and operational plan for the administration of an innovation school, established pursuant to M.G.L. c. 71, § 92(c).

Innovation School. A school or academy authorized by a local school committee under the provisions of M.G.L. c. 71, § 92.

Innovation Schools Zone. Two or more innovation schools operating within a particular school district in accordance with certain factors described in 603 CMR 48.04(2).

Lead District. Among two or more school districts sponsoring a single innovation school, the school district that is responsible for coordinating the formation of a screening committee. The lead district will be the district that will host the proposed innovation school and whose policies, including, but not limited to, transportation and discipline of students, will be in effect at the proposed innovation school, unless clearly stated in the approved innovation plan.

Sponsoring District. A municipal or regional school district responsible for authorization and oversight of an innovation school.

Teacher. For the purposes of a vote to approve conversion to an innovation school or academy, any person working half-time or more in a school or school district under a license listed in 603 CMR 7.04(3)(a), (b), or (d).

4/11/14 603 CMR - 419 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 603 CMR: DEPARTMENT OF EDUCATION

48.03: General Provisions

(1) Administrative Bulletins. The Board and the Department may, from time to time, issue administrative bulletins to interpret, implement, and provide guidance on 603 CMR 48.00.

(2) Non-discrimination. Innovation schools shall be open to all eligible students, on a space available basis, and shall not discriminate on the basis of race, color, national origin, creed, sex, ethnicity, sexual orientation, mental or physical disability, age, ancestry, athletic performance, special need, or proficiency in the English language or a foreign language.

(3) Compliance with Laws and Regulations. (a) As provided in M.G.L. c. 71, § 92(c), a school committee, or committees in the case of innovation schools approved by multiple districts, that approves an innovation plan shall ensure that the innovation school operates in accordance with all laws regulating other public schools, except as the law conflicts with M.G.L. c. 71, § 92(c) or any innovation plans created thereunder. School committees shall take particular care to ensure compliance with laws and regulations protecting the health, safety, and well-being of students and governing the compulsory attendance of school-age children. (b) If an innovation plan committee is proposing an innovation plan that may conflict with laws (including regulations) governing other public schools, the committee shall, before presenting the plan to the school committee for approval, request approval from the Commissioner for any provision in the plan that may conflict with such laws. The Commissioner's approval shall be based on his determination that the plan is consistent with 603 CMR 48.03(2) and with the state's obligations under the education clause of the Massachusetts Constitution, Mass. Const., pt. II, ch. V, § II, as defined by a court of competent jurisdiction, and that the provision in the plan that may conflict with such laws is necessary to advance the mission or educational programs of the innovation school. If the Commissioner does not approve the proposed provision in the plan, the innovation plan committee may ask the Board to review the matter and the Board shall make the final decision.

(4) Waivers. Upon the written request of the Commissioner, the Board may waive any provision of 603 CMR 48.00 for good cause.

48.04: Specific Provisions

(1) Innovation School Serving Two or More School Districts. (a) If an eligible applicant, as identified in M.G.L. c. 71, § 92(f), seeks to establish an innovation school that will serve students from two or more school districts, the superintendents of those districts shall jointly decide which district will be the lead district for purposes of the innovation school. The applicant shall prepare a prospectus for the proposed school and submit it to the superintendent of the lead district. The prospectus shall be reviewed by a screening committee convened by the superintendent of the designated lead district and constituted of individuals from the lead district. If the prospectus is accepted by b of the screening committee, the applicant shall form an innovation plan committee. (b) The applicant may compose the innovation plan committee of individuals, as identified in M.G.L. c. 71, § 92(i), from any of the sponsoring districts, including the lead district, whose students will be served by the proposed innovation school. (c) The innovation plan must specify the tuition arrangement between the sponsoring districts. (d) The innovation plan must be submitted for approval to the school committees of each sponsoring district that will be served by the proposed innovation school. Each sponsoring district's school committee must separately approve the submitted innovation plan in order for the innovation school to be authorized or re-authorized. The innovation plan may specify the procedure by which an innovation plan may be revised and re-submitted for approval if one or more sponsoring district school committees reject the initial innovation plan.

(2) Innovation Schools Zone. A school district may establish an Innovation Schools Zone, whereby the school district operates two or more innovation schools in accordance with common instructional themes or areas of focus, or in accordance with other factors as approved by the local school committee.

4/11/14 603 CMR - 420 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 603 CMR: DEPARTMENT OF EDUCATION

48.04: continued

(3) Screening Committee's Consideration of a Revised Prospectus. If the screening committee returns the prospectus to the eligible applicant for revisions, the applicant may submit a revised prospectus to the screening committee for consideration. Within 30 days of receiving a revised prospectus, the screening committee shall decide, on the basis of a b vote, to accept or reject the prospectus, or return the prospectus to the eligible applicant for further revisions.

(4) Innovation Plan Approval Process for Conversion Schools and Academies. (a) In the case of converting an established program into an academy, the innovation plan must include a description of the teachers in the school to whom the innovation plan will be submitted for approval. b of votes cast by the teachers in that election shall be required to approve the innovation plan. In the case of proposing a new program as an academy, the applicant shall follow the process laid out in M.G.L. c. 71, § 92(l) for establishing a new school. (b) In the case of a school conversion or the conversion of an established program into an academy, the innovation plan shall describe the process and schedule for seeking approval of the innovation plan by the teachers who must approve the plan. The innovation plan shall describe the process for conducting the vote, including absentee voting. The innovation plan shall ensure that the process allows the teachers sufficient time to review and consider the plan before the vote. The applicant, the school district, and the local teacher's union shall coordinate to carry out the process described in the innovation plan. A teacher on approved leave from the school at the time of the election may vote in such election. A teacher who is retiring or who knows that he or she will not be employed at the school the following year shall not vote in such election. b of votes cast by the teachers in that election shall be required to approve the plan.

(5) Reporting Requirement. The superintendent of a sponsoring district must notify the Commissioner within 30 days of the sponsoring district school committee's authorization or re-authorization of an innovation school. The superintendent shall include a copy of the approved innovation plan in the notification to the Commissioner.

(6) Amendments to Innovation Plans. An applicant may amend an operating innovation plan during its five-year authorization period. If the proposed amendment would directly affect the major autonomies established in the existing innovation plan, the applicant/operator must follow the innovation school approval process laid out in M.G.L. c. 71, § 92(i) through (m), beginning with the innovation plan committee and continuing through to final school committee approval. In the case of any other revision to the plan, the applicant shall provide notice to the teachers and the district superintendent of the revision, and the district superintendent shall note the change in his/her annual evaluation of the innovation school, which shall be transmitted to the district school committee(s) and the Commissioner pursuant to M.G.L. c. 71, § 92(n). Any proposed amendment to the operating innovation plan that would require a new waiver or exemption from the teacher contract shall be approved by teachers at the school, pursuant to M.G.L. c. 71, § 92(l) and 603 CMR 48.04.

(7) Failure by a School District to Support an Authorized Innovation School. The operators of an authorized innovation school who encounter any failure by a sponsoring district or districts to support the school, including, but not limited to, failure to provide the autonomies and flexibilities approved in the school's innovation plan, may petition the Commissioner for the selection of a mediator or an arbitrator. The Commissioner shall select a mediator or an arbitrator within three days from a list submitted by the parties. If a mediator is selected, the mediator shall conduct a mediation session with the parties within 14 days of his or her selection. If an arbitrator is selected, the arbitrator shall conduct a hearing within 14 days of his or her selection. If a mediator is selected, the mediator shall strive to reach a consensus consistent with the contents of the innovation plan developed by the applicant, and then notify the Commissioner of that resolution. If an arbitrator is selected, the arbitrator's decision shall be consistent with the contents of the innovation plan developed by the applicant. The arbitrator shall, within 14 days of the close of the hearing, submit a decision to the parties and the Commissioner that shall be final and binding on the parties. The costs of the mediation or arbitration shall be borne by the parties.

REGULATORY AUTHORITY

603 CMR 48.00: M.G.L. c. 69, § 1B and c. 71, § 92.

4/11/14 603 CMR - 421 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 603 CMR: DEPARTMENT OF EDUCATION

NON-TEXT PAGE

4/11/14 603 CMR - 422 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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 # 760

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 780 CMR 1.00

CHAPTER TITLE: Scope and Administration

AGENCY: State Board of Building Regulations and Standards

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. Provides the scope of, and administrative requirements for, the entire building code.

Chapter 1 most heavily amends (compared to other chapters) the model building code because it needs to address MA General Laws and other issues unique to MA. To date the Chapter 1 amendments have been presented separately from the Chapter 1 model code text. This amendment seeks to combine (embed) the amendments into the model code text for ease of use. In addition, several sections of Chapter 1 have been adjusted to add clarity, in particular Section 107, Construction Control, but the requirements of Chapter 1 have not changed.

REGULATORY AUTHORITY: C.802 of Acts of 1972, as amended, and MGL C.143 Sections 93-100.

AGENCY CONTACT: Don Finocchio PHONE: 617-826-5206

ADDRESS: One Ashburton Place, 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. MMA and OCD, January 9, 2014

PUBLIC REVIEW - M.G.L. c. 30A sections 2 and/or 3 requires notice of the hearing or comment period, including a small business impact statement, 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: February 11, 2014

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 111 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:

For the first five years:

No fiscal effect: Improves ease of use which may reduce costs.

SMALL BUSINESS IMPACT - M.G.L. c. 30A section 5 requires each agency to file an amended small business impact statement with the Secretary of the Commonwealth prior to the adoption of a proposed regulation. If the purpose of this regulation is to set rates for the state, this section does not apply.

Date amended small business impact statement was filed: March 10, 2014

CODE OF MASSACHUSETTS REGULATIONS INDEX - List key subjects that are relevant to this regulation: Scope of, and administrative requirements for, the entire building code.

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 780 CMR Chapter 1.

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: Mar 12 2014

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1258 DATE: 04/11/2014

EFFECTIVE DATE: 04/11/2014

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: 11 - 26 11 - 26.4

03/19/2014 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 112 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 780 CMR: STATE BOARD OF BUILDING REGULATIONS AND STANDARDS

780 CMR: MASSACHUSETTS AMENDMENTS TO THE INTERNATIONAL BUILDING CODE 2009 CHAPTER 1: SCOPE AND ADMINISTRATION

SECTION 101 GENERAL 101.1 Adoption and Title. The Board of Building Regulations and Standards (BBRS) adopts and incorporates by reference, the International Building Code, 2009 edition (IBC), including Appendices AA and A through J, and 780 CMR 110.R1 through 110.R7 and these together with modifications as set forth, shall collectively comprise the Massachusetts State Building Code (780 CMR), Eighth Edition, Base Volume, and referred to as "this code". 101.2 Scope. This code shall be the building code for all towns, cities, state agencies or authorities in accordance with M.G.L. c. 143, §§ 93 through 100. This code, and other referenced specialized codes as applicable, shall apply to: 1. the construction, reconstruction, alteration, repair, demolition, removal, inspection, issuance and revocation of permits or licenses, installation of equipment, classification and definition of any building or structure and use or occupancy of all buildings and structures or parts thereof except bridges and appurtenant supporting structures which have been or are to be constructed by, or are under the custody and control of the Massachusetts Department of Transportation, the Transportation Authority, the Department of Conservation and Recreation, or the Massachusetts Port Authority or for which said agencies have maintenance responsibility; 2. the rehabilitation and maintenance of existing buildings; 3. the standards or requirements for materials to be used in connection therewith, including but not limited to provisions for safety, ingress and egress, energy conservation and sanitary conditions; and 4. other powers and duties found in M.G.L. c. 143, §§ 93 through 100, but not listed herein. Exception: Detached one- and two-family dwellings and multiple single-family dwellings (townhouses) not more than three stories above grade plane in height with a separate means of egress and their accessory structures, and residences with five or fewer occupants that are operated or licensed by the Massachusetts Department of Developmental Services shall comply with 780 CMR 51.00: International Residential Code with MA amendments. 101.3 Intent. The purpose of this code is to establish the minimum requirements to safeguard the public health, safety and general welfare through structural strength, means of egress facilities, stability, sanitation, adequate light and ventilation, energy conservation, and safety to life and property from fire and other hazards attributed to the built environment, and to provide safety to fire fighters and emergency responders during emergency operations. 101.4 Referenced Codes. Referenced codes include the specialized codes of M.G.L. c. 143, § 96 and other codes and regulations listed in 101.4.1 through 101.4.12 and shall be considered part of this code to the prescribed extent of each such reference. Work regulated by the specialized codes of M.G.L. c. 143, § 96 shall be designed, installed and inspected by individuals authorized to do so in accordance with the specialized codes. However, the impact of work regulated by the specialized codes of M.G.L. c. 143, § 96 and other codes and regulations on work governed by this code and within the jurisdiction of the building official, shall be subject to inspection by the building official. 101.4.1 Gas and Fossil Fuel Burning Appliances. Reference to the International Fuel Gas Code shall be considered reference to 248 CMR: Board of State Examiners of Plumbers and Gas Fitters. Gas fired appliances are governed 248 CMR. Oil fired appliances are governed by 527 CMR 4.00: Oil Burning Equipment. 101.4.2 Mechanical. The provisions of the International Mechanical Code (IMC) shall apply to all mechanical systems except for that which is defined as sheet metal work by M.G.L. c. 112, § 237. The provisions of 271 CMR shall apply to all sheet metal work as defined by M.G.L. c. 112, § 237. Note: 527 CMR may cover certain fire protection requirements of the IMC. 101.4.3 Plumbing. Reference to the International Plumbing Code shall be considered reference to 248 CMR: Board of State Examiners of Plumbers and Gas Fitters.

4/11/14 780 CMR - Eighth Edition - 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. 780 CMR: STATE BOARD OF BUILDING REGULATIONS AND STANDARDS

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101.4.4 Property Maintenance. Reference to the International Property Maintenance Code shall be considered reference to this code (780 CMR) and within the jurisdiction of the building official. Also see 105 CMR 410.000: Minimum Standards of Fitness for Human Habitation (State Sanitary Code, Chapter II), which are enforced by the public health official. 101.4.5 Fire Prevention. Reference to sections of the International Fire Code (IFC) for fire prevention requirements shall be considered reference to 527 CMR: Board of Fire Prevention Regulations. The fire official enforces the provisions of 527 CMR. Reference to sections of the International Fire Code (IFC) 2009 Edition for building code requirements are adopted, except that retroactive requirements of the IFC are not adopted. The building official enforces 780 CMR and all adopted IFC requirements. Also see M.G.L. c. 148, § 9. 101.4.6 Energy. Chapter 13: Energy Efficiency of this code shall apply to all matters governing the design and construction of buildings for energy efficiency. 101.4.7 Architectural Access. Any reference in this code to accessibility shall be considered reference to 521 CMR: Architectural Access Board. 521 CMR is enforced by the building official. 101.4.8 Environmental Protection. See 310 CMR: Department of Environmental Protection and 314 CMR: Division of Water Pollution Control. 101.4.9 Elevators. Any reference in this code to elevators shall be considered reference to 524 CMR: Board of Elevator Regulations. 101.4.10 Electrical. Any reference in this code to the International Electrical Code shall be considered reference to 527 CMR 12.00: Massachusetts Electrical Code (Amendments). 101.4.11 Sheet Metal. See 271 CMR: Board of Examiners of Sheet Metal Workers. 101.4.12 International Residential Code. Any reference in this code to the International Residential Code shall be considered reference to 780 CMR 51.00 through 120.00.

101.5 BBRS Advisory Committees. The BBRS has created technical Advisory Committees to support requests from and by the BBRS as it deems necessary per M.G.L. c. 143. Titles and membership of these technical advisory committees may be viewed at www.mass.gov/dps.

SECTION 102 APPLICABILITY 102.1 General. Where there is a conflict between a general requirement and a specific requirement, the specific requirement shall be applicable. Where, in any specific case, different sections of this code specify different materials, methods of construction or other requirements, the most restrictive shall govern. Exception: Where enforcement of a provision of this code would violate the conditions of a listing or manufacturer's instructions, the conditions of the listing and manufacturer's instructions shall apply. 102.2 Other Laws. The provisions of this code shall not nullify any provision of state or federal law. Massachusetts General Laws (M.G.L.s) and the Code of Massachusetts Regulations (CMRs) are often referenced in this code. It is the code user's responsibility to determine all applicable laws and regulations relevant to sections in this code. 102.2.1 DDS Facilities. Additional building features required by the Massachusetts Department of Developmental Services (DDS) do not change the classification of residences operated or licensed by DDS as dwellings subject to 780 CMR 51.00: Massachusetts Residential Code. 102.2.2 Municipal Bylaws or Ordinances. When provisions of this code conflict with municipal bylaws and ordinances, this code shall govern unless the bylaws or ordinances were promulgated in accordance with M.G.L. c. 143, § 98.

102.3 Application of References. References to chapter or section numbers, or to provisions not specifically identified by number, shall be construed to refer to such chapter, section or provision of this code.

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102.4 Referenced Codes and Standards. The codes and standards referenced in this code shall be considered part of the requirements of this code to the prescribed extent of each such reference. Where differences occur between provisions of this code and referenced codes and standards, the provisions of this code shall apply. 102.5 Partial Invalidity. In the event that any part or provision of this code is held to be illegal or void, this shall not have the effect of making void or illegal any of the other parts or provisions. 102.6 Existing Structures. The legal occupancy of any structure existing on the date of adoption of this code shall be permitted to continue without change, except as is specifically covered in this code or as deemed necessary by the building official for the general safety and welfare of the public. 102.6.1 Laws in Effect. Unless specifically provided otherwise in this code, and narrow to the provisions of this code, any existing building or structure shall meet and shall be presumed to meet the provisions of the applicable laws, codes, rules or regulations, bylaws or ordinances in effect at the time such building or structure was constructed or altered and shall be allowed to continue to be occupied pursuant to its use and occupancy, provided that the building or structure shall be maintained by the owner in accordance with this code. 102.6.2 Laws Not in Use. In cases where applicable codes, rules or regulations, bylaws or ordinances were not in use at the time of such construction or alteration, the building or structure shall be maintained by the owner in accordance with this code. 102.6.3 Less Stringent. In cases where the provisions of this code are less stringent than the applicable codes, rules or regulations, bylaws or ordinances at the time of such construction or substantial alteration, the applicable provisions of this code shall apply, providing such application can be reasonably demonstrated to not result in danger to the public, as determined by the building official. 102.6.4 Existing Means of Egress, Lighting and Ventilation. The building official may cite the following condition in writing as a violation and order the abatement within a time frame deemed necessary by the building official to make the building environment safe, healthy or otherwise comply with this code. a. Inadequate number of means of egress. b. Egress components with insufficient width or so arranged to be inadequate, including signage and lighting. c. Inadequate lighting and ventilation. Where full compliance for means of egress, lighting and ventilation are not practical, the building official may accept compliance alternatives, engineering, or other evaluations that adequately address the deficiency. 102.7 Moved Structures. Buildings or structures moved into or within the jurisdiction shall comply with the provisions of Chapter 34: Existing Structures provided that any new system shall comply as far as practicable with the requirements for new structures and provided further that the siting and fire separation distance comply with the requirements for new structures. 102.8 Maintenance of Existing Buildings and Structures. All buildings and structures and all parts thereof, both existing and new, and all systems and equipment therein which are regulated by this code shall be maintained in a safe, operable and sanitary condition. All service equipment, means of egress, devices and safeguards which are required in a building or structure, or which were required by a previous statute in a building or structure, when erected, altered or repaired, shall be maintained in good working order. 102.8.1 Owner Responsibility. The owner, as defined in Chapter 2: Definitions, shall be responsible for compliance with the provisions of this code.

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PART 2 - ADMINISTRATION AND ENFORCEMENT SECTION 103 ENFORCEMENT 103.1 Municipal and State Enforcement. Reference to The Department of Building Safety shall be considered reference to the building official. This code shall be enforced by the building official as defined in Chapter 2: Definitions and in accordance with M.G.L. c. 143, §§ 3, 3A, Y, and Z and M.G.L. c. 22, the building official shall include; building commissioner or inspector of buildings, local inspector, and state building inspector. These M.G.L.s also contain pro- visions, not limited to: employment and designation, qualifications, temporary appointment, and certification of building officials. SECTION 104 DUTIES AND POWERS OF BUILDING OFFICIAL 104.1 General. The building official is hereby authorized and directed to enforce the provisions of this code in accordance with M.G.L. c. 143, §§ 3 and 3A. In every city and town this code shall be enforced by the State Inspector of the Department of Public Safety, Division of Inspections, as to any structures or buildings or parts thereof that are owned by the Commonwealth or any departments, commissions, agencies, or authorities of the Commonwealth 104.2 Applications and Permits. The building official shall receive applications, review construction documents and issue permits for the erection, and alteration, demolition and moving of buildings and structures, inspect the premises for which such permits have been issued and enforce compliance with the provisions of this code. 104.3 Notices and Orders. The building official shall issue all necessary notices or orders to ensure compliance with this code. 104.4 Inspections. The building official shall make all of the required inspections, or the building official shall have the authority to accept reports of inspection by approved agencies or individuals. Reports of such inspections shall be in writing and be certified by a responsible officer of such approved agency or by the responsible individual. The building official is authorized to engage such expert opinion as deemed necessary to report upon unusual technical issues that arise, subject to the approval of the appointing authority. 104.4.1 Coordination of Inspections. Whenever in the enforcement of this code, or another code or ordinance, the responsibility of more than one enforcement official of the jurisdiction is involved, it shall be the duty of the enforcement officials involved to coordinate their inspections and administrative orders as fully as practicable so that the owners and occupants of the building or structure shall not be subjected to visits by numerous inspectors or multiple or conflicting orders. Whenever an enforcement official observes an apparent or actual violation not within the official's authority, the official shall report the findings to the official having jurisdiction. 104.5 Identification. The building official shall carry proper identification when inspecting structures or premises in the performance of duties under this code. 104.6 Right of Entry. Where it is necessary to make an inspection to enforce the provisions of this code, or where the building official has reasonable cause to believe that there exists in a structure or upon a premises a condition which is contrary to or in violation of this code which makes the structure or premises unsafe, dangerous or hazardous, the building official is authorized to enter the structure or premises at reasonable times to inspect or to perform the duties imposed by this code, provided that if such structure or premises be occupied that credentials be presented to the occupant and entry requested. If such structure or premises is unoccupied, the building official shall first make a reasonable effort to locate the owner or other person having charge or control of the structure or premises and request entry. If entry is refused, the building official shall have recourse to the remedies provided by law to secure entry. 104.7 Department Records. The building official shall keep official records of applications received, permits and certificates issued, fees collected, reports of inspections, and notices and orders issued. Such records shall be retained in the official records for the period required for retention of public records. 104.8 Liability. All claims of liability relative to building officials shall be governed by M.G.L. c. 258.

4/11/14 780 CMR - Eighth Edition - 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. 780 CMR: STATE BOARD OF BUILDING REGULATIONS AND STANDARDS

1.00: continued 104.9 Approved Materials and Equipment. Materials, equipment and devices approved by the building official shall be constructed and installed in accordance with such approval. 104.9.1 Used Materials and Equipment. The use of used materials which meet the requirements of this code for new materials is permitted. Used equipment and devices shall not be reused unless approved by the building official. 104.10 Modifications. Wherever there are practical difficulties involved in carrying out the provisions of this code, the building official shall have the authority to grant modifications for individual cases, upon application of the owner or owner's representative, provided the building official shall first find that special individual reason makes the strict letter of this code impractical and the modification is in compliance with the intent and purpose of this code and that such modification does not lessen health, accessibility, life and fire safety, or structural requirements. The details of action granting modifications shall be recorded and entered in the files of the department of building safety. 104.10.1 Areas Prone to Flooding. The building official shall not grant modifications to any provision related to areas prone to flooding as established by this code without the granting of a variance to such provisions by the building code appeals board. Also, no variance to requirements of this code can be solely utilized to argue for lawful construction/reconstruction where such construction/reconstruction would conflict with requirements of M.G.L. c. 131, § 40: Removal, Fill, Dredging or Altering of Land Bordering Waters (the Wetlands Protection Act), and/or 310 CMR and 314 CMR, as applicable. 104.11 Alternative Materials, Design and Methods of Construction and Equipment. The provisions of this code are not intended to prevent the installation of any material or to prohibit any design or method of construction not specifically prescribed by this code, provided that any such alternative has been approved. An alternative material, design or method of construction shall be approved where the building official finds that the proposed design is satisfactory and complies with the intent of the provisions of this code, and that the material, method or work offered is, for the purpose intended, at least the equivalent of that prescribed in this code in quality, strength, effectiveness, fire resistance, durability and safety. 104.11.1 Research Reports. Supporting data, where necessary to assist in the approval of materials or assemblies not specifically provided for in this code, shall consist of valid research reports from approved sources. 104.11.2 Tests. Whenever there is insufficient evidence of compliance with the provisions of this code, or evidence that a material or method does not conform to the requirements of this code, or in order to substantiate claims for alternative materials or methods, the building official shall have the authority to require tests as evidence of compliance to be made at no expense to the jurisdiction. Test methods shall be as specified in this code or by other recognized test standards. In the absence of recognized and accepted test methods, the building official shall approve the testing procedures. Tests shall be performed by an approved agency. Reports of such tests shall be retained by the building official for the period required for retention of public records. 104.12 Matters Not Provided For. In recognition of the inherent difficulty of drafting a functional code that contemplates every situation that may arise in the area of building safety, this section provides the building official, the building code appeals board, or the BBRS itself, with reasonable discretion to ensure that all life safety issues that may arise in the enforcement of this code may be appropriately addressed. Matters not specifically provided for in this code regarding structural, egress, fire, energy, sanitary or other requirements essential to occupant safety shall be determined by the building official or, in the case of an appeal, the building code appeals board. If this provision is used, the building official shall notify the BBRS in writing within seven days of such determination. For highly specialized buildings and structures that conform to unique code requirements or nationally recognized standards not required in this code, registered design professionals shall provide sufficient information to the building official to support their approval. For fire protection design, see Chapter 9: Fire Protection Systems.

4/11/14 780 CMR - Eighth Edition - 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. 780 CMR: STATE BOARD OF BUILDING REGULATIONS AND STANDARDS

1.00: continued SECTION 105 PERMITS 105.1 Required. It shall be unlawful to construct, reconstruct, alter, repair, remove or demolish a building or structure; or to change the use or occupancy of a building or structure; or to install or alter any equipment for which provision is made or the installation of which is regulated by this code without first filing an application with the building official and obtaining the required permit. 105.2 Work Exempt from Permit. Except for activities which may require a permit pursuant to other laws, by-laws, rules and the specialized codes of M.G.L. c. 143, § 96, a building permit is not required for the following activities: 1. One story detached accessory buildings used as tool or storage sheds, playhouses and similar uses, provided the floor area does not exceed 120 square feet. 2. Fences not over six feet (1829 mm) high. 3. Retaining walls which retain less than four feet of unbalanced fill. 4. Greenhouses covered exclusively with plastic film. This exemption does not apply if the greenhouse is to be used for large assemblies of people or uses other than normally expected for this purpose. 5. Painting, papering, tiling, carpeting, cabinets, counter tops and similar finish work. 6. Swings and other playground equipment. 7. Window awnings supported by an exterior wall that do not project more than 54 inches (1372 mm) from the exterior wall and do not require additional support of Groups R-3 and U occupancies. 8. Sidewalks and driveways. 105.2.1 Emergency Repairs. Where replacements and repairs governed by this code must be performed in an emergency situation, the permit application shall be submitted within the next working business day to the building official. Note: Pursuant to the terms of the specialized codes of M.G.L. c. 143, § 96, this exemption might not apply to emergency repairs conducted under those specialized codes. 105.2.2 Repairs. Application or notice to the building official is not required for ordinary repairs to structures. A permit is required for work including but not limited to: the substantial cutting away of any wall, partition or portion thereof, the removal or cutting of any structural beam or load-bearing support, or the removal or change of any required means of egress, or rearrangement of parts of a structure affecting the egress requirements or mechanical systems or other work affecting public health or general safety under the jurisdiction of 780 CMR. 105.3 Application for Permit. To obtain a permit, the owner (see definition) or authorized agent shall file a permit application on a form furnished by the building official for that purpose. Standard application forms, along with application forms that some municipalities use, can be found at www.mass.gov/dps. Such applications shall: 1. Identify and describe the work to be covered by the permit for which application is made. 2. Describe the land on which the proposed work is to be done by legal description, street address or similar description that will readily identify and definitely locate the proposed building or work. 3. Indicate the use and occupancy for which the proposed work is intended. If the work involves a care facility or residence licensed by a State agency, indicate the agency name and appropriate licensing regulation on the permit. For example: Department of Developmental Services, 115 CMR. 4. Be accompanied by construction documents and other information as required in section 107. Construction documents shall list any additional building features required by a Massachusetts state agency for its facilities that go beyond the requirements in this code. 5. State the valuation of the proposed work. The building official has authority to request from the applicant a detailed substantiation of the valuation.

4/11/14 780 CMR - Eighth Edition - 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. 780 CMR: STATE BOARD OF BUILDING REGULATIONS AND STANDARDS

1.00: continued 6. Be signed by the owner (see definition) or authorized agent. 7. Give such other data and information as required by the building official in accordance with this code. 105.3.1 Action on Application. The building official shall examine or cause to be examined applications for permits and amendments, and shall issue or deny the permit, within 30 days of filing. If the application or the construction documents do not conform to the requirements of this code and all pertinent laws (see note below) under the building official's jurisdiction, the building official shall deny such application in writing, stating the reasons therefore. The building official's signature shall be attached to every permit. The following requirements, where applicable, must be satisfied before a building permit is issued: 1. Zoning: in accordance with M.G.L. c. 40A or St. 1956, c. 665. 2. Railroad Right-of-way: in accordance with M.G.L. c. 40, § 54A. 3. Water Supply: in accordance with M.G.L. c. 40, § 54; 4. Debris Removal: in accordance with M.G.L. c. 40, § 54 5. Workers Compensation Insurance: in accordance with M.G.L. c. 152, § 25C(6). 6. Hazards to Air Navigation: in accordance with M.G.L. c. 90, § 3SB. 7. Construction in coastal dunes, see section Appendix G: Flood-resistant Construction.

105.3.2 Time Limitation of Application. An application for a permit for any proposed work shall be deemed to have been abandoned 180 days after the date of filing, unless such application has been pursued in good faith or a permit has been issued; except that the building official is authorized to grant one or more extensions of time for additional periods not exceeding 90 days each. The extension shall be requested in writing and justifiable cause demonstrated. 105.4 Validity of Permit. The issuance or granting of a permit shall not be construed to be a permit for, or an approval of, any violation of any of the provisions of this code or of any other ordinance of the jurisdiction. Permits presuming to give authority to violate or cancel the provisions of this code or other ordinances of the jurisdiction shall not be valid. The issuance of a permit based on construction documents and other data shall not prevent the building official from requiring the correction of errors in the construction documents and other data. The building official is also authorized to prevent occupancy or use of a structure where in violation of this code or of any other ordinances of this jurisdiction. 105.5 Expiration. Every permit issued shall become invalid unless the work on the site authorized by such permit is commenced within 180 days after its issuance, or if the work authorized on the site by such permit is suspended or abandoned for a period of 180 days after the time the work is commenced. The building official is authorized to grant, in writing, one or more extensions of time, for periods not more than 180 days each. The extension shall be requested in writing and justifiable cause demonstrated. 105.6 Suspension or Revocation. The building official is authorized to suspend or revoke a permit issued under the provisions of this code wherever the permit is issued in error or on the basis of incorrect, inaccurate or incomplete information, or in violation of any ordinance or regulation or any of the provisions of this code. 105.7 Placement of Permit. The permit or copy shall be kept on the site of the work until the completion of the project. 105.8 Notice of Start. The building official may require to be notified at least one business day before the start of work.

4/11/14 780 CMR - Eighth Edition - 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. 780 CMR: STATE BOARD OF BUILDING REGULATIONS AND STANDARDS

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105.9 Independent Structural Engineering Review Condition. As a condition for the issuance of a building permit, the structural design of the following described structures shall be reviewed by a registered design professional to verify that the design of the primary structure is conceptually correct and that there are no major errors in the design: 1. High rise buildings. 2. Structures of unusual complexity or design as determined by the BBRS. A building official may apply to the BBRS for such a determination on a specific structure. This requirement shall not preclude an owner from obtaining an independent structural engineering design review of a primary structure, other than those listed in this section. 105.9.1 Review Requirements. The independent structural engineering review shall be in accordance with the guidance document found at www.mass.gov/dps. 105.9.2 Disputes. Disputes between the structural engineer responsible for the design of the building or structure and the independent structural engineering reviewer shall be resolved by the BBRS or a board established by the BBRS. SECTION 106 FLOOR AND ROOF DESIGN LOADS 106.1 Live Loads Posted. Where the live loads for which each floor or portion thereof of a commercial or industrial building is or has been designed to exceed 50 psf (2.40 kN/m2), such design live loads shall be conspicuously posted by the owner in that part of each story in which they apply, using durable signs. It shall be unlawful to remove or deface such notices 106.2 Issuance of Certificate of Occupancy. A certificate of occupancy required by Section 111 shall not be issued until the floor load signs, required by Section 106.1, have been installed. 106.3 Restrictions on Loading. It shall be unlawful to place, or cause or permit to be placed, on any floor or roof of a building, structure or portion thereof, a load greater than is permitted by this code.

SECTION 107 SUBMITTAL DOCUMENTS AND CONSTRUCTION CONTROL 107.1 General. Submittal documents consisting of construction documents, statement of special inspections, geotechnical report and other data shall be submitted in two or more sets with each permit application. The construction documents shall be prepared by a registered design professional where required by the statutes of the jurisdiction in which the project is to be constructed. Where special conditions exist, the building official is authorized to require additional construction documents to be prepared by a registered design professional. Exception: The building official is authorized to waive the submission of construction documents and other data not required to be prepared by a registered design professional if it is found that the nature of the work applied for is such that review of construction documents is not necessary to obtain compliance with this code. 107.1.1 Professional Seal and Signature. All plans and specifications shall bear a seal and signature of the responsible registered design professional in accordance with M.G.L. c. 143, § 54A. See also www.mass.gov/dpl for policy on electronic seal and signature for certain registered design professionals. 107.1.2 Fire Department Review. For permits that include fire protection systems under Chapters 4: Special Detailed Requirements Based on Use and Occupancy or 9: Fire Protection Systems, or 34: Existing Structures, construction documents shall be filed with the building official who shall cause them to be filed with the head of the local fire department for review. The fire department shall have ten-working days after receiving the documents to complete its review. Upon the fire department's written request, the building official may grant one or more extensions up to a total review period maximum of 30-days. If the fire department review is not received within the allowed time frame the building official may upon review deem the documents in compliance with 780 CMR. If the head of the local fire department believes such construction documents to be noncompliant with this code or reference standards, he or she shall notify the building official (refer to M.G.L. c. 148, § 28A) in writing citing relevant sections of noncompliance with this code or the section of the referenced standards of Chapter 35: Referenced Standards. 107.1.3 Manufactured Buildings and Modular Homes. Document submittal shall be as follows:

4/11/14 780 CMR - Eighth Edition - 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. 780 CMR: STATE BOARD OF BUILDING REGULATIONS AND STANDARDS

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1. Site specific plans and specifications. 2. Plan Identification Number Assignment Form with BBRS number. This is to confirm plans have been approved by the State and must include a stamp approval and signature. 3. Plans must be stamped on every page by a Third Party Inspection Agency. 4. Every page showing calculations by a registered design professional must be provided with their stamp and signature. 5. Energy compliance certificate. 6. Set manuals are required to be on site at time of project set and must be specific to the project. Exception: If all connection details are provided on the plans then the set manual is not required. 7. Set crew information must accompany the plan submittal package with approved certification from manufacturer. 107.2 Construction Documents. Construction documents shall be in accordance with Sections 107.2.1 through 107.2.5. 107.2.1 Information on Construction Documents. Construction documents shall be dimensioned and drawn upon suitable material. Electronic media documents are permitted to be submitted when approved by the building official. Construction documents shall be of sufficient clarity to indicate the location, nature and extent of the work proposed and show in detail that it will conform to the provisions of this code and relevant laws, ordinances, rules and regulations, as determined by the building official. 107.2.2 Fire Protection System Shop Drawings. Shop drawings for the fire protection system(s) shall be submitted to indicate conformance to this code and the construction documents and shall be approved prior to the start of system installation. Shop drawings shall contain all information as required by the referenced installation standards in Chapter 9: Fire Protection Systems. 107.2.3 Means of Egress. The construction documents shall show in sufficient detail the location, construction, size and character of all portions of the means of egress in compliance with the provisions of this code. In other than occupancies in Groups R-2, R-3, and I-1, the construction documents shall designate the number of occupants to be accommodated on every floor, and in all rooms and spaces. 107.2.4 Exterior Wall Envelope. Construction documents for all buildings shall describe the exterior wall envelope in sufficient detail to determine compliance with this code. The construction documents shall provide details of the exterior wall envelope as required, including flashing, intersections with dissimilar materials, corners, end details, control joints, intersections at roof, eaves or parapets, means of drainage, water-resistive membrane and details around openings. The construction documents shall include manufacturer's installation instructions that provide supporting documentation that the proposed penetration and opening details described in the construction documents maintain the weather resistance of the exterior wall envelope. The supporting documentation shall fully describe the exterior wall system which was tested, where applicable, as well as the test procedure used. 107.2.5 Site Plan. The construction documents submitted with the application for permit shall be accompanied by a site plan showing to scale the size and location of new construction and existing structures on the site, distances from lot lines, the established street grades and the proposed finished grades and, as applicable, flood hazard areas, floodways, and base flood elevations; and it shall be drawn in accordance with an accurate boundary line survey. In the case of demolition, the site plan shall show construction to be demolished and the location and size of existing structures and construction that are to remain on the site or plot. The building official is authorized to waive or modify the requirement for a site plan when the application for permit is for alteration or repair or when otherwise warranted. 107.2.5.1 Base Flood Elevations. Base flood elevations shall be determined in accordance with Appendix G: Flood-resistant Construction. 107.3 Examination of Documents. The building official shall examine or cause to be examined the accompanying submittal documents and shall ascertain by such examinations whether the construction indicated and described is in accordance with the requirements of this code and other pertinent laws or ordinances.

4/11/14 780 CMR - Eighth Edition - 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. 780 CMR: STATE BOARD OF BUILDING REGULATIONS AND STANDARDS

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107.3.1 Approval of Construction Documents. When the building official issues a permit, the construction documents shall be approved, in writing or by stamp, as "Reviewed for Code Compliance". One set of construction documents so reviewed shall be retained by the building official. The other set shall be returned to the applicant, shall be kept at the site of work and shall be open to inspection by the building official or a duly authorized representative. 107.3.2 Previous Approvals. This code shall not require changes in the construction documents, construction or designated occupancy of a structure for which a lawful permit has been heretofore issued or otherwise lawfully authorized, and the construction of which has been pursued in good faith within 180 days after the effective date of this code and has not been abandoned. 107.3.3 Phased Approval. The building official is authorized to issue a permit for the construction of foundations or any other part of a building or structure before the construction documents for the whole building or structure have been submitted, provided that adequate information and detailed statements have been filed complying with pertinent requirements of this code. The holder of such permit for the foundation or other parts of a building or structure shall proceed at the holder's own risk with the building operation and without assurance that a permit for the entire structure will be granted. 107.3.4 Deferred Submittals. For the purposes of this section, deferred submittals are defined as those portions of the design that are not submitted at the time of the application and that are to be submitted to the building official within a specified period. Deferral of any submittal items shall have the prior approval of the building official. The deferred submittal items shall not be installed until the deferred submittal documents have been approved by the building official. 107.4 Amended Construction Documents. Work shall be installed in accordance with the approved construction documents, and any changes made during construction that are not in compliance with the approved construction documents shall be resubmitted for approval as an amended set of construction documents. 107.5 Retention of Construction Documents. One set of approved construction documents shall be retained by the building official in accordance with M.G.L. c. 66, § 8. 107.6 Construction Control. 107.6.1 General. This section shall apply to the construction controls, professional services and contractor services required for buildings and structures needing registered design professional services. The following structures are exempt from the requirements of this section: 1. Any building containing less than 35,000 cubic feet of enclosed space, measured to the exterior surfaces of walls and roofs and to the top of a ground supported floor, or in the case of a crawl space, to the bottom surface of the crawl space. In the case of basement floors or levels, the calculation of enclosed space shall include such spaces. For additions to existing buildings, the volume of enclosed space shall include the entire existing building and all proposed additions. 2. Any one- or two-family dwelling or any accessory building thereto. 3. Any building used exclusively for agricultural purposes. See Appendix C: Group U - Agricultural Buildings for occupancy and other limitations. 4. Retaining walls less than ten feet in height at all points along the wall as measured from the base of the footing to the top of the wall. 5. Structures where the building official determines that the scope of work is minor in nature and not needing registered design professional services. Notwithstanding these exemptions, registered design professional services shall be required for activities which are deemed to constitute the practice of architecture or engineering as defined in M.G.L. c. 112, §§ 60A or 81D, except as provided in M.G.L. c. 143, § 54A and any legally required profession or as provided in M.G.L. c. 112, § 81R. Where work is performed by licensed trades people pursuant to M.G.L. c. 112, § 81R, shop drawings or plans and specifications prepared to document that work shall not be required to bear the seal or signature of a registered design professional. In lieu of a seal and signature the building official may require that the registered design professional review and approve shop or record drawings for general conformance to the design concept.

4/11/14 780 CMR - Eighth Edition - 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. 780 CMR: STATE BOARD OF BUILDING REGULATIONS AND STANDARDS

1.00: continued 107.6.1.1 Specialized Structures. Telecommunication towers, wind turbine towers, and similar structures are engineered structures and shall be subject to the requirements of section 107.6. 107.6.2 Registered Design Professional Services. 107.6.2.1 Design. All plans, computations and specifications involving new construction, alterations, repairs, expansions or additions or change in use or occupancy of existing buildings shall be prepared by or under the direct supervision of a registered design professional and shall bear his or her signature and seal (see Section 107.1.1). Said signature and seal shall signify that the plans, computations and specifications meet the applicable provisions of this code and accepted engineering practices. Any alternative means and methods which deviate from prescriptive requirements of this code shall be submitted to the building official for approval in a narrative form separate from the plans. 107.6.2.2 Construction. The registered design professionals who are responsible for the design, plans, calculations, and specifications, their designee or the registered design professionals who have been retained for construction phase services, shall perform the following tasks: 1. Review, for conformance to this code and the design concept, shop drawings, samples and other submittals by the contractor in accordance with the requirements of the construction documents. 2. Perform the duties for registered design professionals in Chapter 17: Structural Tests and Special Inspections. 3. Be present at intervals appropriate to the stage of construction to become generally familiar with the progress and quality of the work and to determine if the work is being performed in a manner consistent with the construction documents and this code. The permit application shall not be deemed completed until all of the construction documents required by this code have been submitted. Documentation indicating that work complies with the plans and specifications shall be provided at the completion of each phase when required by the building official. Upon completion of the work, the registered design professional shall file a final document to the building official indicating that, to the best of his or her knowledge and belief, the work has been performed in accordance with the approved plans and this code. Forms for construction control when required by the building official shall be those found at www.mass.gov/dps. 107.6.2.3 Structural Tests and Special Inspections. Structural tests and special inspection shall be provided in accordance with Chapter 17: Structural Tests and Special Inspections. 107.6.2.4 Non Structural System Test and Inspection. Tests and inspections of non structural systems shall be performed in accordance with applicable engineering practice standards, referenced standards listed in Chapter 35: Referenced Standards, or as otherwise specified in this code. 107.6.3 Construction Contractor Services. The actual construction of the work shall be the responsibility of the general contractor as identified on the approved permit and shall involve the following: 1. Execution of all work in accordance with the approved construction documents. 2. Execution and control of all means and methods of construction in a safe and satisfactory manner in accordance with all applicable local, state, and federal statutes and regulations. 3. Upon completion of the construction, certification in writing to the responsible registered design professional that, to the best of the contractor’s knowledge and belief, construction has been done in substantial accord with section 107.6 and with all pertinent deviations specifically noted. The building official may require a copy of this certification.

4/11/14 780 CMR - Eighth Edition - 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. 780 CMR: STATE BOARD OF BUILDING REGULATIONS AND STANDARDS

1.00: continued 107.6.4 Project Representation. A project representative may be required by the building official. This representative shall keep daily records and submit reports as may be required by the building official. This project representation requirement shall be determined prior to the issuance of the permit and may be a prerequisite for permit issuance. Refusal by the applicant to provide such service if required by the building official shall result in the denial of the permit. All fees and costs related to the performance of project representation shall be borne by the owner. When applications for unusual designs or magnitude of construction are filed, or where reference standards require special architectural or engineering inspections, the building official may require that the project representative be a registered design professional in addition to those registered design professionals required elsewhere per Section107.6. 107.6.5 Building Official Responsibility. Nothing contained in section 107.6 shall have the effect of waiving or limiting the building official's authority to enforce this code with respect to examination of the contract documents, including plans, computations and specifications, and field inspections.

SECTION 108 TEMPORARY STRUCTURES AND USES 108.1 General. The building official is authorized to issue a permit for temporary structures and temporary uses. Such permits shall be limited as to time of service, but shall not be permitted for more than 180 days. The building official is authorized to grant extensions for demonstrated cause. 108.2 Conformance. Temporary structures and uses shall conform to the structural strength, fire safety, means of egress, accessibility, light, ventilation and sanitary requirements of this code as necessary to ensure public health, safety and general welfare. 108.3 Fire Department Review. Temporary structures and uses must be approved by the building official in consultation with the head of the local fire department. 108.4 Termination of Approval. The building official is authorized to terminate for cause and with written notice such permit for a temporary structure or use and to order the temporary structure or use to be discontinued. 108.5 State of Emergency. Upon declaration by the Governor of a State of Emergency under St. 1950. c. 639, or of an emergency detrimental to the public health under M.G.L. c. 17, § 2A a building or space within a building may be used as a temporary emergency use for purposes of housing and/or caring for persons in accordance with procedures established for such purpose as contained in this code (also see Chapter 31: Special Construction).

SECTION 109 FEES 109.1 Payment of Fees. A permit shall not be valid until the fees prescribed by law have been paid, nor shall an amendment to a permit be released until the additional fee, if any, has been paid in the amount established by the applicable governing authority. 109.2 Schedule of Permit Fees. For state building permit fees, see 801 CMR 4.02: Rates. For municipal building permit fees, refer to the municipality. 109.3 Building Permit Valuations. The applicant for a permit shall provide an estimated value of project cost at time of application. If, in the opinion of the building official, the valuation is underestimated on the application, the permit shall be denied, unless the applicant can show detailed estimates to meet the approval of the building official. Final building permit valuation shall be set by the building official. 109.4 Work Commencing Before Building Permit Issued. Any person who commences any work on a building or structure governed by this code before obtaining the necessary building permit shall be in violation of this code and subject to penalties. See Section 114. 109.5 Related Fees. Payment of the building permit fee shall not relieve the applicant or holder of the permit from the payment of other fees that are prescribed by law.

4/11/14 780 CMR - Eighth Edition - 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. 780 CMR: STATE BOARD OF BUILDING REGULATIONS AND STANDARDS

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SECTION 110 INSPECTIONS 110.1 General. Construction or work for which a permit is required shall be subject to inspection by the building official and such construction or work shall remain accessible and exposed for inspection purposes until approved. Approval as a result of an inspection shall not be construed to be an approval of a violation of the provisions of this code or of other ordinances of the jurisdiction. Inspections presuming to give authority to violate or cancel the provisions of this code or of other ordinances of the jurisdiction shall not be valid. It shall be the duty of the permit applicant to cause the work to remain accessible and exposed for inspection purposes and that all work shall be conducted, installed, protected and completed in a workmanlike and acceptable manner so as to secure the results intended by this code. Neither the building official nor the jurisdiction shall be liable for expense entailed in the removal or replacement of any material required to allow inspection. 110.2 Preliminary Inspection. Before issuing a permit, the building official is authorized to examine or cause to be examined buildings, structures and sites for which an application has been filed. 110.3 Required Inspections. The building official shall conduct inspections during construction at intervals sufficient to ensure compliance with the provisions of this code which may include inspections set forth in sections 110.3.1 through 110.3.10 (Also 110.4). The building official shall inform the applicant of the required points of inspection at the time of permit issuance. The building official may designate specific inspection points in the course of construction that require the contractor or builder to give the building official one business day notice prior to the time when those inspections need to be performed. The building official shall make the inspections within two business days after notification. 110.3.1 Footing and Foundation Inspection. Footing and foundation inspections shall be made after excavations for footings are complete and any required reinforcing steel is in place. For concrete foundations, any required forms shall be in place prior to inspection. Materials for the foundation shall be on the job, except where concrete is ready mixed in accordance with ASTM C 94, the concrete need not be on the job. 110.3.2 Concrete Slab and Under-floor Inspection. Concrete slab and under-floor inspections shall be made after in-slab or under-floor reinforcing steel and building service equipment, conduit, piping accessories and other ancillary equipment items are in place, but before any concrete is placed or floor sheathing installed, including the subfloor. 110.3.3 Lowest Floor Elevation. Per Appendix G: Flood-resistant Construction, in flood hazard zones and high hazard zones, upon placement of the lowest floor, including the basement, and prior to further vertical construction, the elevation certification required in Appendix G: Flood-resistant Construction, shall be submitted to the building official. 110.3.4 Frame Inspection. Framing inspections shall be made after the roof deck or sheathing, all framing, fire-blocking and bracing are in place and pipes, chimneys and vents to be concealed are complete and the rough electrical, plumbing, heating wires, pipes and ducts are approved. 110.3.5 Lath and Gypsum Board Inspection. Lath and gypsum board inspections shall be made after lathing and gypsum board, interior and exterior, is in place, but before any plastering is applied or gypsum board joints and fasteners are taped and finished. Exception: Gypsum board that is not part of a fire-resistance-rated assembly or a shear assembly. 110.3.6 Fire- and Smoke-resistant Penetrations. Protection of joints and penetrations in fire-resistance-rated assemblies, smoke barriers and smoke partitions shall not be concealed from view until inspected and approved. 110.3.7 Energy Efficiency Inspections. Inspections shall be made to determine compliance with Chapter 13: Energy Efficiency and shall include, but not be limited to, inspections for: envelope insulation R- and U-values, fenestration U- value, duct system R- value, and HVAC and water-heating equipment efficiency.

4/11/14 780 CMR - Eighth Edition - 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. 780 CMR: STATE BOARD OF BUILDING REGULATIONS AND STANDARDS

1.00: continued 110.3.8 Other Inspections. In addition to the inspections specified above, the building official is authorized to make or require other inspections of any construction work to ascertain compliance with the provisions of this code and other laws that are enforced by the department of building safety. 110.3.9 Special Inspections. For special inspections, see Section 1704. 110.3.10 Final Inspection. The final inspection shall be made after all work required by the building permit is completed. 110.4 Inspection Agencies. The building official is authorized to accept reports of approved inspection agencies, provided such agencies satisfy the requirements as to qualifications and reliability. 110.5 Inspection Requests. It shall be the duty of the holder of the building permit or their duly authorized agent to notify the building official when work is ready for inspection. It shall be the duty of the permit holder to provide access to and means for inspections of such work that are required by this code. The building official may require the permit holder or his representative to attend these inspections. 110.6 Approval Required. Work shall not be done beyond the point indicated in each successive inspection without first obtaining the approval of the building official. The building official, upon notification, shall make the requested inspections and shall either indicate the portion of the construction that is satisfactory as completed, or notify the permit holder or his or her agent wherein the same fails to comply with this code. Any portions that do not comply shall be corrected and such portion shall not be covered or concealed until authorized by the building official. 110.7 Periodic Inspections. The building official shall inspect periodically existing buildings and structures and parts thereof in accordance with Table 110 entitled Schedule for Periodic Inspections of Existing Buildings. Such buildings shall not be occupied or continue to be occupied without a valid Certificate of Inspection. Periodic inspections required by this section do not apply to residences operated or licensed by the Massachusetts Department of Developmental Services and subject to 780 CMR One- and Two-family Dwellings.

4/11/14 780 CMR - Eighth Edition - 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. 780 CMR: STATE BOARD OF BUILDING REGULATIONS AND STANDARDS

1.00: continued Table 110 Schedule for Periodic Inspection of Existing Buildings (See Chapters 3: Use and Occupancy Classification and 4: Special Detailed Requirements Based on Use and Occupancy for complete descriptions of use groups.) Maximum Use Group Minimum Use Group Use Group Certification Description Inspections Period Movie theaters or theaters for performing > 400 occupant load Semi – annual One year A-1 acts (stage and scenery) # 400 occupant load Semi – annual One year > 400 occupant load1 Semi –annual1 One year A-2 Restaurants, Night Clubs or similar uses # 400 occupant load1 Annual1 One year Lecture halls, dance halls, churches and > 400 occupant load Semi –annual One year A-3 places of religious worship, recreational # 400 occupant load Annual One year centers, terminals, etc. A-4 Low density recreation and similar uses. see note 3. Five years A Special amusement buildings or portions thereof. see note 3. One year E Educational, day care see note 3. One year I-1 Group home see note 3. One year Residents incapable of self preseration – hospitals, nursing home, I-2 see note 3. Two years2 mental hospitals, certain day care facilities. I-3 Residents restrained – prisons, jails, detention centers, etc. see note 3. Two years I-4 Adult and/or child day care facilities. see note 3. One year R-1 Hotels, motels, boarding houses, etc. see note 3. One year R-1 Detoxification facilities see note 3. Two years R-2 Multi-family see note 3. Five years R-2 Dormitories and R-2 Congregate Living see note 3 One year R-2 Summer Camps for children. Annual One year R-3 Residential facilities licensed by DDS or DMH Annual One year R-4 Residential care/assisted living facilities (< 16 persons) Annual One year Facilities licensed by the Alcohol Beverage Control Commission Annual4 as per One year as per Any where alcoholic beverages are served and consumed. M.G.L. c. 10, § 74 M.G.L. c. 10, § 74 Any House museums (see Chapter 34: Existing Structures for definition) Annual One year Any Fire escapes, etc. per Chapter 10: Means of Egress Five years Five years Notes: 1. When appropriate for A-2 uses, the inspection for the Certificate of Inspection should include and be timed to satisfy the requirements of M.G.L. c. 10, § 74. 2. One year for facilities licensed or operated by the Department of Mental Health (DMH). 3. Prior to issuance of new certificate. 4. Certificates of inspection for establishments intending to sell alcoholic beverages to be consumed on the premises shall be governed by M.G.L. c. 10, § 74 and the inspection schedule in section 110.7. The building official may issue a temporary inspection certificate, once co-signed by the building official and by the head of the fire department, effective to a date certain for the establishment. General Note: It is the responsibility of building “owner”, as defined in Chapter 2: Definitions, to meet the inspection requirements in this table for continued use and occupancy. The maximum certification period specified in the table is intended to provide administrative flexibility. For uses allowing more than one year maximum certification period, the permit may determine the certificate validity term. For example, an R-2 building could be certified for one, two, three, four or five years. SECTION 111 CERTIFICATE OF OCCUPANCY 111.1 Use and Occupancy. No building or structure shall be used or occupied, and no change in the existing occupancy classification of a building or structure or portion thereof shall be made, until the building commissioner, inspector of buildings, or when applicable, the state inspector, has issued a certificate of occupancy therefore as provided herein. Issuance of a certificate of occupancy shall not be construed as an approval of a violation of the provisions of this code or of other ordinances of the jurisdiction. Conformance to all applicable specialized codes of M.G.L. c. 143, § 96 is a requirement of the issuance of the Certificate of Use and Occupancy Exception: Certificates of occupancy are not required for work exempt from permits under Section 105.2.

4/11/14 780 CMR - Eighth Edition - 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. 780 CMR: STATE BOARD OF BUILDING REGULATIONS AND STANDARDS

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111.1.1 Buildings or Structures Hereafter Altered. building or structure, in whole or in part, altered to change from one use group to another, to a different use within the same use group, the maximum live load capacity, or the occupancy load capacity shall not be occupied or used until the certificate shall have been issued certifying that the work has been completed in accordance with the provisions of the approved permits and of the applicable codes for which permit is required. 111.1.2 Massachusetts' Licensed Care Facilities. Certificate of occupancy inspections for Massachusetts licensed care facilities, including, inspection of special building features required by the licensing agency, shall be limited to verifying compliance with the provisions of this code. 111.2 Certificate Issued. After the building official inspects the building or structure and finds no violations of the provisions of this code or other laws that are enforced by the department of building safety, the building official shall issue a certificate of occupancy that contains the following: 1. The building permit number. 2. The address of the structure. 3. (Reserved). 4. A description of that portion of the structure for which the certificate is issued. 5. A statement that the described portion of the structure has been inspected for compliance with the requirements of this code for the occupancy and division of occupancy and the use for which the proposed occupancy is classified. 6. The name of the building commissioner or inspector of buildings or state inspector. 7. The edition of the code under which the permit was issued. 8. The use and occupancy, in accordance with the provisions of Chapter 3: Use and Occupancy Classification. 9. The type of construction as defined in Chapter 6: Types of Construction. 10. The design occupant load. 11. If an automatic sprinkler system is provided, whether the sprinkler system is required. 12. Any special stipulations and conditions of the building permit. 13. If the facility is licensed by a State agency, the name of the agency and the name and number of any relevant Code of Massachusetts Regulations (CMR) that apply regarding building features. 111.3 Temporary Occupancy. The building official is authorized to issue a temporary certificate of occupancy before the completion of the entire work covered by the permit, provided that such portion or portions shall be occupied safely. The building official shall set a time period, not to exceed 180 days, during which the temporary certificate of occupancy is valid. Upon written request from the permit holder, the building official may extend the temporary occupancy permit for additional 30 day periods or a period at the discretion of the building official. 111.4 Revocation. The building official is authorized to, in writing, suspend or revoke a certificate of occupancy or completion issued under the provisions of this code wherever the certificate is issued in error, or on the basis of incorrect information supplied, or where it is determined that the building or structure or portion thereof is in violation of any ordinance or regulation or any of the provisions of this code. 111.5 Posting. Buildings and structures shall be posted for occupancy as noted in this section. 111.5.1 Posting of Use and Occupancy. A copy of the certificate of occupancy shall be posted at the main entry or be made readily available for inspection. 111.5.2 Required Egress Posting. A suitably designed placard, approved by the building official shall be posted by the owner on all floors of every building and structure, except High Hazard, Factory, and 1-3 use occupancies, as defined in Chapter 3: Use and Occupancy Classification. In addition to the per floor requirement, all rooms used as a place of assembly or as an R-l sleeping space shall have the required egress posting. Said placard shall be securely fastened to the building or structure in a readily visible place, showing exiting paths per floor.

4/11/14 780 CMR - Eighth Edition - 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. 780 CMR: STATE BOARD OF BUILDING REGULATIONS AND STANDARDS

1.00: continued 111.5.3 Place of Assembly Posting. A placard suitably designed in contrasting colors and approved by the building official, shall be posted by the owner in every room where practicable of every building and structure and part thereof designed for use as a place of public assembly (use groups A). Said placard shall designate all of the occupant loads approved for each configuration within each room or space. 111.5.4 Replacement of Posted Signs. All posting signs shall be furnished by the owner and shall be of permanent design; they shall not be removed or defaced, and if lost, removed or defaced, shall be immediately replaced. 111.5.5 Periodic Posting Inspection. The building official may periodically inspect all existing buildings and structures except one and two family dwellings for compliance with this code in respect to posting; or may accept the report of such inspections from a registered design professional or others certified by the BBRS; and such inspections and reports shall specify any violation of the posting requirements of this code. SECTION 112 SERVICE UTILITIES - Reserved SECTION 113 APPEALS 113.1 General. Appeals of orders, decisions, determinations and failures to act made by any state or local agency or any person or state or local agency charged with the administration or enforcement of the state building code or any of its rules and regulations, except the specialized codes of M.G.L. c. 143, § 96 relative to the application and interpretation of this code shall be addressed by the building code appeals board in accordance with M.G.L. c. 143, § 100. An application to file an appeal may be found at www.mass.gov/dps 113.2 Limitations on Authority. - Reserved 113.3 Qualifications. - Reserved 113.4 Local and Regional Boards of Appeals. If a city, region or town had not duly established by ordinance or bylaw or otherwise a local or regional building code board of appeals prior to January 1, 1975, said city, region or town may establish a local or regional board of appeals in accordance with section 113.0, referred to as the local board of appeals, consisting of not less than three nor more than five members appointed by the chief administrative officer of the city, region or town. Any appeal originating in a city or town that has a local board must be heard by the local board before being heard by the state building code appeals board. 113.4.1 Review. Any person, including the State Building Code Appeals Board, aggrieved by a decision of the local board of appeals, whether or not a previous party to the decision, or any municipal officer or official board of the municipality, may, not later than 45 days after the mailing of the decision of the local board, apply to the State Building Code Appeals Board for a hearing de novo before the State Board, in accordance with section 113. All local appeal decisions are to be reviewed by the BBRS and are to be summarized in a manner acceptable to the BBRS. Forms and other information pertaining to this review process are found at www.mass.gov/dps. 113.4.2 Qualifications of Local Board Members. Each member of a local board of appeals established under M.G.L. c. 143, § 100 shall have had at least five years experience in the construction, alteration, repair and maintenance of building and building codes. At least one member shall be a registered structural or civil professional engineer and one member a licensed registered architect. 113.4.3 Chairman of Local or Regional Board. The board shall select one of its members to serve as chairman and a detailed record of all proceedings shall be kept on file in the building department. 113.4.4 Absence of Members. During the absence of a member of a local board of appeals for reason of disability or disqualification, the chief administrative officer of the city, region or town shall designate a substitute who shall meet the qualifications as outlined in section 113.0. SECTION 114 VIOLATIONS 114.1 Unlawful Acts. It shall be unlawful for any person, firm or corporation to erect, construct, alter, extend, repair, move, remove, demolish, occupy or change the use or occupancy of any building, structure or equipment regulated by this code, or cause same to be done, in conflict with or in violation of any of the provisions of this code.

4/11/14 780 CMR - 26.1 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. 780 CMR: STATE BOARD OF BUILDING REGULATIONS AND STANDARDS

1.00: continued 114.2 Notice of Violation. The building official is authorized to serve a notice of violation or order on the person responsible for the erection, construction, alteration, extension, repair, moving, removal, demolition or occupancy of a building or structure in violation of the provisions of this code, or in violation of a permit or certificate issued under the provisions of this code. Such order shall direct the discontinuance of the illegal action or condition and the abatement of the violation. 114.2.1 Notice Service and Content. Every notice or order authorized pursuant to 114.2 shall be in writing and shall be served on the person responsible: 1. Personally, by any person authorized by the building official; or 2. By any person authorized to serve civil process by leaving a copy of the order or notice at the responsible party's last and usual place of business or abode; or 3. By sending the party responsible or their agent authorized to accept service of process in the Massachusetts a copy of the order by registered or certified mail return receipt requested, if he is within the Massachusetts; or 4. If the responsible party's last and usual place of business or abode is unknown, by posting a copy of this order or notice in a conspicuous place on or about the premises in violation and by publishing it for at least three out of five consecutive days in one or more newspapers of general circulation wherein the building or premises affected is situated. 114.3 Enforcement. Violations to this code shall be enforced in accordance with the applicable provisions of M.G.L. c. 143, M.G.L. c. 148, and M.G.L. c. 148A. 114.4 Violation Penalties. Any person who violates a provision of this code or fails to comply with any of the requirements thereof or who erects, constructs, alters or repairs a building or structure, or makes a change of use in violation of the approved construction documents or directive of the building official, or of a permit or certificate issued under the provisions of this code, shall be subject to penalties as prescribed by M.G.L. c. 143, § 94a.

SECTION 115 STOP WORK ORDER 115.1 Authority. Whenever the building official finds any work regulated by this code being performed in a manner either contrary to the provisions of this code or dangerous or unsafe, the building official is authorized to issue a stop work order. 115.2 Issuance. The initial stop work order may be verbal, but shall be in writing within 48 hours and shall cite the time and date of the verbal order and be given to the owner of the property involved, or to the owner's agent, or to the person doing the work. Upon issuance of a stop work order, the cited work shall immediately cease. The stop work order shall state the reason for the order, and the conditions under which the cited work will be permitted to resume. 115.3 Unlawful Continuance. Any person who shall continue any work after having been served with a stop work order, except such work as that person is directed to perform to remove a violation or unsafe condition, shall be subject to penalties as prescribed by M.G.L. c. 143, § 94a. Each day during which a violation exists shall constitute a separate offense.

SECTION 116 UNSAFE STRUCTURES AND EQUIPMENT 116.1 General. The provisions of this section are established by and work in conjunction with the requirements of M.G.L. c. 143, §§ 6 through 12. 116.2 Standards for Making Buildings Safe or Secure. Any owner of a building who has been notified that said building shall be made safe or secure under section 116, shall: 1. Remove all materials determined by the head of the fire department or building official to be dangerous in case of fire. 2. Secure all floors accessible from grade utilizing one of the following methods so long as such method is approved by the head of the fire department and building official in writing: a. Secure all window and door openings in accordance with the U.S. Fire Administration, National Arson Prevention Initiative Board Up Procedures found here: www.usfa.dhs.gov/downloads/pdf/publications/napi4.pdf continuously until such time as the building is reoccupied; or b. Provide 24 hour watchman services, continuously until such time as the building is reoccupied; or

4/11/14 780 CMR - 26.2 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. 780 CMR: STATE BOARD OF BUILDING REGULATIONS AND STANDARDS

1.00: continued

c. Provide a monitored intruder alarm system at the perimeter of all floors accessible from grade, continuously until such time as the building is reoccupied. Said owner, as the case may be, shall notify the building official that the approved method chosen to secure the building has been incorporated. Said owner shall allow the building official to enter the building for an inspection to ascertain that the building is secured and made safe. Said owner shall allow the head of the fire department to enter the building. The building official shall be supplied with records of maintenance and operation if the provisions of section 116.2 items 2b. or 2c. are used. 3. Maintain any existing fire alarms or sprinkler systems unless written permission is obtained from the head of the fire department in accordance with M.G.L. c. 148, § 27A to shut off or disconnect said alarms or systems. 4. Maintain utilities unless written permission is obtained from the building official to disconnect said utilities. Permission to disconnect utilities shall not be granted if it will result in inadequate heat to prevent freezing of an automatic sprinkler system or inadequate utilities to maintain any other protection systems. 5. The requirements of section 116.2 items 1. through 4. do not prevent a building official from ordering or taking expeditious, temporary security measures in emergency situations pending the completion of the requirements of section 116.2 items 1. through 4. For the purposes of section 116, an "emergency situation” shall be defined as: an unexpected incident, which by its very nature may present a threat to public safety personnel who may be required to affect a rescue effort or conduct fire extinguishment operations. Upon refusal or neglect of said owner to comply with such notice, any building official acting under the authority of M.G.L. c. 143, §§ 6 through12, shall enforce section 116.2 item 2a. or other equivalent procedure approved by the head of the fire department, continuously until such time as the building is reoccupied. Any building which has been made to conform to the provisions of section 116.2 during vacancy may be reoccupied under its last permitted use and occupancy classification, provided that any systems which were disconnected or shut down during the period of vacancy are restored to fully functional condition and subject to section 105 and M.G.L. c. 40A. The local building official shall be notified in writing prior to re-occupancy. If said building is changed in use or occupancy or otherwise renovated or altered it shall be subject to the applicable provisions of Chapter 34: Existing Structures. 116.3 Marking or Identifying Certain Buildings That Are Especially Unsafe in the Case of Fire. Any building official who determines that a building is especially unsafe in case of fire under section 116 shall notify the head of the fire department about the existence of said building. The building official, in cooperation with the head of the fire department, shall cause said building to be marked in accordance with the marking requirements in 527 CMR 10.00: Fire Prevention, General Provisions.

REGULATORY AUTHORITY

780 CMR 1.00: St. 1972, c. 802; M.G.L. c. 143, §§ 93 through 100.

4/11/14 780 CMR - 26.3 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. 780 CMR: STATE BOARD OF BUILDING REGULATIONS AND STANDARDS

NON-TEXT PAGE

4/11/14 780 CMR - 26.4 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 # 761

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 780 CMR 2.00

CHAPTER TITLE: Definitions

AGENCY: State Board of Building Regulations and Standards

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. Provides definitions for terms used in the building code.

Replaces the definition of owner to address circumstances not clearly covered by the current definition, especially in regard to State owned buildings, and substitutes the definition of Registered Design Professional for Registered Design Professional in Responsible Charge to clarify the intent that these terms, used primarily in Chapters 1 and 17, should have the same meaning.

REGULATORY AUTHORITY: C.802 of Acts of 1972, as amended, and MGL C.143 Sections 93-100.

AGENCY CONTACT: Don Finocchio PHONE: 617-826-5206

ADDRESS: One Ashburton Place, 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. MMA and OCD, January 9, 2014

PUBLIC REVIEW - M.G.L. c. 30A sections 2 and/or 3 requires notice of the hearing or comment period, including a small business impact statement, 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: February 11, 2014

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 113 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:

For the first five years:

No fiscal effect: Improves ease of use which may reduce costs.

SMALL BUSINESS IMPACT - M.G.L. c. 30A section 5 requires each agency to file an amended small business impact statement with the Secretary of the Commonwealth prior to the adoption of a proposed regulation. If the purpose of this regulation is to set rates for the state, this section does not apply.

Date amended small business impact statement was filed: March 10, 2014

CODE OF MASSACHUSETTS REGULATIONS INDEX - List key subjects that are relevant to this regulation: Provides definitions for terms Owner and Registered Design Professional used in the building code.

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 780 CMR Chapter 2.

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: Mar 12 2014

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1258 DATE: 04/11/2014

EFFECTIVE DATE: 04/11/2014

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: 27, 28 27, 28

03/19/2014 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 114 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 780 CMR: STATE BOARD OF BUILDING REGULATIONS AND STANDARDS

780 CMR: MASSACHUSETTS AMENDMENTS TO THE INTERNATIONAL BUILDING CODE 2009

CHAPTER 2: DEFINITIONS

201.3 Revise to read as follows: 201.3 Terms Defined in Other Codes. Where terms are not defined in this code and are defined in the International Mechanical Code 2009, International Fire Code, International Existing Building Code 2009, International Energy Conservation Code 2009, or any of the applicable specialized codes of M.G.L. 143, § 96, such terms shall have the meanings ascribed to them as in those codes.

202 DEFINITIONS: Add or revise definitions as follows: AGRICULTURE. Defined by M.G.L. c. 128, §1A. Specifically, “farming” or “agriculture” shall include farming in all of its branches and the cultivation and tillage of the soil, dairying, the production, cultivation, growing and harvesting of any agricultural, aquacultural, floricultural or horticultural commodities, the growing and harvesting of forest products upon forest land, the raising of livestock including horses, the keeping of horses as a commercial enterprise, the keeping and raising of poultry, swine, cattle and other domesticated animals used for food purposes, bees, fur-bearing animals, and any forestry or lumbering operations, performed by a farmer, who is hereby defined as one engaged in agriculture or farming as herein defined, or on a farm as an incident to or in conjunction with such farming operations, including preparations for market, delivery to storage or to market or to carriers for transportation to market. AGRICULTURAL, BUILDING. A structure designed and constructed to house farm implements, hay, grain, poultry, livestock or other horticultural products. This structure shall not be a place of human habitation. BUILDING OFFICIAL. The building commissioner/inspector of buildings, local inspector or state building inspector charged with the administration and enforcement of this code in accordance with M.G.L. c. 143, §§ 3 and 3A. DESIGN FLOOD. See Base Flood. DESIGN FLOOD ELEVATION. See Base Flood Elevation. HIGH-RISE BUILDING. A building more than 70 feet in height above grade plane. JURISDICTION. The Board of Building Regulations and Standards. NIGHT CLUB. See section 303.1.1: Definitions. ORDINANCE. Ordinance or bylaw. OWNER. Every person who alone or jointly or severely with others (a) has legal title to any building or structure; or (b) has care charge or control of any building or structure in any capacity including but not limited to agent, executor, executrix, administrator, administration, trustee or guardian of the estate of the holder of legal title; or (c) lessee under a written letter agreement; or (d) mortgagee in possession; or (e) agent, trustee or other person appointed by the courts. Each such person is bound to comply with the provisions of this code. REGISTERED DESIGN PROFESSIONAL. An individual who is licensed or otherwise authorized to practice their respective design profession as defined by the statutory requirements of the professional registration laws of Massachusetts. REGISTERED DESIGN PROFESSIONAL IN RESPONSIBLE CHARGE. See registered design professional. REPAIRS, ORDINARY. Any maintenance which does not affect the structure, egress, fire protection systems, fire ratings, energy conservation provisions, plumbing, sanitary, gas, electrical or other utilities. A building permit is not required for ordinary repairs. SPECIALIZED CODES. Codes, rules or regulations pertaining to building construction, reconstruction, alteration, repair or demolition promulgated by and under the authority of various boards authorized by the general court. See M.G.L. c. 143, § 96.

4/11/14 780 CMR - Eighth Edition - 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. 780 CMR: STATE BOARD OF BUILDING REGULATIONS AND STANDARDS

2.00: continued STORY ABOVE GRADE PLANE. Add a third note: 3. or more than six feet (1829 mm) above finished ground level for more than 50% of the total building perimeter. TEMPORARY EMERGENCY USES. A building or space within a building that is used for purposes other than originally designed or intended. A temporary emergency use may only be used pursuant to the provisions of section 108. A Temporary Emergency Use building or space within a building shall be approved for such use by the municipal or state building official in consultation with the other appropriate municipal and state officials in accordance with procedures found at www.mass.gov/dps established for such purpose. TEMPORARY OVERNIGHT SHELTER. See section 3111.

4/11/14 780 CMR - Eighth Edition - 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. Docket # 762

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 780 CMR 5.00

CHAPTER TITLE: General Building Heights and Areas

AGENCY: State Board of Building Regulations and Standards

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. Provides regulations governing the allowable heights and areas of buildings considering construction type and other criteria.

Reinstates the allowance to construct taller residential buildings if compliant fire sprinkler systems are installed. It was found that the current amendment inadvertently removed that allowance.

REGULATORY AUTHORITY: C.802 of Acts of 1972, as amended, and MGL C.143 Sections 93-100.

AGENCY CONTACT: Don Finocchio PHONE: 617-826-5206

ADDRESS: One Ashburton Place, 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. MMA and OCD, January 9, 2014

PUBLIC REVIEW - M.G.L. c. 30A sections 2 and/or 3 requires notice of the hearing or comment period, including a small business impact statement, 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: February 11, 2014

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 117 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:

For the first five years: Allows a single story height increase for residential buildings using a 13R sprinkler system versus a more costly 13 system. No fiscal effect:

SMALL BUSINESS IMPACT - M.G.L. c. 30A section 5 requires each agency to file an amended small business impact statement with the Secretary of the Commonwealth prior to the adoption of a proposed regulation. If the purpose of this regulation is to set rates for the state, this section does not apply.

Date amended small business impact statement was filed: March 10, 2014

CODE OF MASSACHUSETTS REGULATIONS INDEX - List key subjects that are relevant to this regulation: Reinstates the allowance to construct taller residential buildings if compliant fire sprinkler systems are installed.

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 780 CMR 5.04.2.

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: Mar 12 2014

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1258 DATE: 04/11/2014

EFFECTIVE DATE: 04/11/2014

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: 41, 42 41, 42

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The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 118 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 780 CMR: STATE BOARD OF BUILDING REGULATIONS AND STANDARDS

780 CMR: MASSACHUSETTS AMENDMENTS TO THE INTERNATIONAL BUILDING CODE 2009

CHAPTER 5: GENERAL BUILDING HEIGHTS AND AREAS

501.1 Add two notes as follows: Note 1. Site plans may be required to contain fires lanes per 527 CMR 10.00: Fire Prevention, General Provisions, as may be deemed necessary by the head of the fire department. Note 2. In this chapter, requirements for unsprinklered buildings may be overridden by sprinkler requirements of M.G.L. c. 148.

503.1.3.1 Add subsection: 503.1.3.1 Hospital Construction. M.G.L c. 111, § 51 requires hospitals to be constructed of at least Type IB construction.

504.1 Add a last sentence to the exception: Also see 527 CMR 10.00: Fire Prevention, General Provisions for fire lane requirements.

504.2 Add a last sentence as follows:

Also see automatic sprinkler system requirements for R-Use buildings in Table 903.2 note a.

507.4 Two Story. Reserved.

507.9 Add a last sentence to the exception: Also see 527 CMR 10.00: Fire Prevention, General Provisions for fire lane requirements.

4/11/14 780 CMR - Eighth Edition - 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. 780 CMR: STATE BOARD OF BUILDING REGULATIONS AND STANDARDS

NON-TEXT PAGE

4/11/14 780 CMR - Eighth Edition - 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. Docket # 763

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 780 CMR 9.00

CHAPTER TITLE: Fire Protection Systems

AGENCY: State Board of Building Regulations and Standards

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. Provides regulations for fire protection systems.

In general, reduces the changes to the virgin IBC language in an effort to meet that intention of the BBRS. The Fire Prevention/ Fire Protection (FPFP) advisory committee to BBRS prepared these revisions after reviewing the performance of their initial recommendations that were implemented when the current code was first released in August 2010. One specific change corrects a conflict found with the fire code regarding the need for carbon monoxide detectors.

REGULATORY AUTHORITY: C.802 of Acts of 1972, as amended, and MGL C.143 Sections 93-100.

AGENCY CONTACT: Don Finocchio PHONE: 617-826-5206

ADDRESS: One Ashburton Place, 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. MMA and OCD, January 9, 2014

PUBLIC REVIEW - M.G.L. c. 30A sections 2 and/or 3 requires notice of the hearing or comment period, including a small business impact statement, 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: February 11, 2014

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 119 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:

For the first five years: Improves ease of use which may reduce costs.

No fiscal effect:

SMALL BUSINESS IMPACT - M.G.L. c. 30A section 5 requires each agency to file an amended small business impact statement with the Secretary of the Commonwealth prior to the adoption of a proposed regulation. If the purpose of this regulation is to set rates for the state, this section does not apply.

Date amended small business impact statement was filed: March 10, 2014

CODE OF MASSACHUSETTS REGULATIONS INDEX - List key subjects that are relevant to this regulation: In general, reduces the changes to the virgin IBC language in an effort to meet that intention of the BBRS.

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 780 CMR 9.03

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: Mar 12 2014

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1258 DATE: 04/11/2014

EFFECTIVE DATE: 04/11/2014

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: 49 - 64 49 - 62

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The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 120 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 780 CMR: STATE BOARD OF BUILDING REGULATIONS AND STANDARDS

780 CMR: MASSACHUSETTS AMENDMENTS TO THE INTERNATIONAL BUILDING CODE 2009

CHAPTER 9: FIRE PROTECTION SYSTEMS

901.1 Add these notes: Note 1. Throughout Chapter 9, when reference to the International Plumbing Code is made the user shall refer to 248 CMR 10.00: Uniform State Plumbing Code. Note 2. Throughout Chapter 9, reference to sections of the International Fire Code (IFC) for fire prevention requirements shall be considered reference to 527 CMR Board of Fire Prevention Regulations. The fire official enforces the provisions of 527 CMR. Reference to sections of the International Fire Code (IFC) 2009 edition for building code requirements are adopted, except that retroactive requirements of the IFC are not adopted. The building official enforces 780 CMR and all adopted IFC requirements. Also see MGL c. 148, § 9. Note 3. Throughout Chapter 9, when references to Chapter 27: Electrical and/or NFPA 70 are made, the user shall refer to 527 CMR 12.00: Massachusetts Electrical Code (Amendments). Note 4. Throughout Chapter 9, where reference is made to the terms “fire official”, “fire department”, “head of the fire department” or “fire code official”, such is to be construed as meaning the “local fire chief or his/her designee”. Note 5. In subsections 904.2, 907.1.1, 909.7, 909.8, 909.9, 909.10, 909.19, 909.19 Exception, and 910.4, the term “fire official” or “building official” is to be substituted with the terms “building official in conjunction and cooperation with the fire official”. The fire official may appeal a building official action per Chapter 1: Scope and Administration. Note 6. In subsection 909.20.6.3, the term “building official” is to be substituted with the term “building official and fire official”. Note 7. In subsection 903.1.1, the term “fire code official” is to be substituted with the term “building official and fire official”.

901.2 Replace the exception as follows: Exceptions: 1. Any fire protection system or portion thereof not required by this code shall be permitted to be installed for partial or complete protection provided that such system meets the requirements of this code. 2. Where alternative fire protection designs, which vary from any prescriptive requirements of this Chapter, are to be utilized, the owner shall engage an independent registered design professional, to review said alternative design. The scope of the review shall include, but not be limited to: a. Design assumptions, methodologies, and resulting proposed system designs, to determine whether or not: i. the proposed fire protection systems and any other systems which are affected by the alternative design, are consistent with the general objectives and prescriptive provisions of this Chapter; ii. they all conform to accepted engineering practice. b. Preparation of a written report to the building official as to the appropriateness of the proposed design specifically listing any variances from the prescriptive provisions of this Chapter and describing, in detail, the design provisions used to achieve compliance. If the reviewing engineer concurs with the proposed design, the owner shall make application for a variance, to the State Building Code Appeals Board per Chapter 1: Scope and Administration. In addition to all supporting information and materials, the reviewing engineering’s report required per this exception shall be included in the application for variance. A building permit shall not be issued until the variance, if required, has been granted, or unless the building permit is issued in part per Chapter 1: Scope and Administration. When a variance is granted per this exception for a bulk merchandising retail building as defined in Chapter 4: Special Detailed Requirements Based on Use and Occupancy, and when the condition is common to future buildings of the owner, the BBRS, upon request of the owner, may provide that the variance shall be applicable to such future buildings. If such request is made, a quorum of the BBRS shall hear the appeal. Each such application to a future building will be subject to determination as prescribed per Chapter 1: Scope and Administration by the building official in conjunction with the fire official that its use is in conformity with the terms of the variance.

4/11/14 780 CMR - Eighth Edition - 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. 780 CMR: STATE BOARD OF BUILDING REGULATIONS AND STANDARDS

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901.2.1 Add new subsection: 901.2.1 Document Submittal Process. This process includes three tiers of the minimum document submittal requirements. This process does not preclude the permit applicant from submitting additional documents; for example shop drawings along with the construction documents at time of permit application. 1. Tier One, Construction Documents - Prior to issuance of a building permit, construc- tion documents for the fire protection system must be submitted in accordance with Chapter 1: Scope and Administration and a building permit obtained prior to the installation of fire protection systems or modifications, alterations, additions or deletions to an existing fire protection system. The construction documents shall contain sufficient information to completely describe each of the fire protection system(s) for which a permit is to be issued. The construction documents shall include the following: a. Each system shall be described in a narrative report, which contains: i. design methodology for the protection of the occupancy and hazards in accordance with this code and applicable NFPA Standards and, ii. sequence of operation of all fire protection systems and operations and, iii. testing criteria to be used for final system acceptance. b. Building and site access for fire-fighting and/or rescue vehicle(s) and personnel. c. Fire hydrant(s) location and water supply information. d. Type/description and design layout of the automatic sprinkler system(s). e. Automatic sprinkler system(s) control equipment location. f. Type/description and design layout of the automatic standpipe system(s). g. Standpipe system hose valve(s) type and location. h. Fire department siamese connection type(s) and location. i. Type/description and design layout of the fire protective signaling system(s). j. Fire protective signaling system(s) control equipment and remote annunciator location. k. Type/description and design layout of the smoke control or exhaust system(s). l. Smoke control or exhaust system(s) control equipment location. m. Building life safety system features (auxiliary functions) required to be integrated as part of the fire protective signaling system(s). n. Type/description and design layout of the fire extinguishing system(s). o. Fire extinguishing system(s) control equipment location. p. Fire protection system(s) equipment room location. q. Fire protection system(s) equipment identification and operation signs. r. Fire protection system(s) alarm/ supervisory signal transmission method and location. e. Fire command center location. t. Type/description and location of any emergency alarm system. u. Type/description and location of any alternative fire suppression system or protection. v. Type/description and location of any carbon monoxide protection. 2. Tier Two, Shop Drawings - Prior to installation of fire protection systems, shop drawings, where applicable, shall be submitted to the building official and fire official and shall contain, but not be limited to; detailed design layout, equipment specifications, system sequence of operation, and analysis to substantiate the design. Shop drawings shall note the name(s), license number(s) and license expiration date(s) of the contractor(s) installing the fire protection systems. Exception. For shop drawings of Fire Alarm and Detection Systems see section 907.1.2 for applicable requirements. 3. Tier Three, Record Drawings - As built plans shall be provided to the building owner for all fire protection and life safety systems that are sealed as reviewed and approved by the registered design professional or legally recognized professional performing Construction Control. Where changes to original shop drawings are minor, a list of as-built changes shall be permitted to be submitted where sealed and reviewed and approved by the registered design professional or legally recognized professional performing Construction Control.

4/11/14 780 CMR - Eighth Edition - 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. 780 CMR: STATE BOARD OF BUILDING REGULATIONS AND STANDARDS

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901.3 Replace as follows: 901.3 Maintenance. All water based fire protection systems shall be maintained in accordance with NFPA 25 as listed in Chapter 35: Referenced Standards. All other fire protection systems shall be maintained in accordance with the requirements of the applicable reference standards and standards listed in Chapter 35: Referenced Standards. The owner of every building or structure shall be responsible for the care and maintenance of all fire protection systems, including equipment and devices, to ensure the safety and welfare of the occupants. No person shall shut off, disconnect, obstruct, remove or destroy, or cause or permit to be shut off, disconnected, obstructed, removed or destroyed, any part of any sprinkler system, water main, hydrant or other device used for fire protection or carbon monoxide detection and alarm in any building owned, leased or occupied by such person or under his control or supervision, without first procuring a written permit so to do from the head of the fire department of the city or town wherein such building is situated in accordance with M.G.L. c. 148, § 27A. When installations of fire protection systems are interrupted for repairs or other necessary reasons, the owner, tenant or lessee shall immediately advise the local fire department and shall diligently prosecute the restoration of the protection.

901.5 Revise to read as follows: 901.5 Acceptance Tests. Fire protection systems shall be tested in accordance with the requirements of this code and NFPA Standards and approved testing criteria and operational sequence as submitted in section 901.2.1, Tier One, Item a. When required, the tests shall be conducted in the presence of the building official and fire official or their designee.

901.5.1 Add subsection: 901.5.1 Certificate of Occupancy. Prior to the issuance of a Certificate of Occupancy and prior to witness of acceptance testing the following documents must be submitted to the building and fire officials, or designees. 1. Certification from the registered design professional, or other legally recognized professional, responsible for the construction documents per section 107.6, stating that the fire protection systems have been installed in accordance with applicable codes and standards, in accordance with the approved construction documents and that the record drawings indicate any deviations, if any. 2. Confirmation by the building owner or the owner’s authorized representative that they have received the as-built record drawings. 3. Material, Test, Performance, and Completion Certificates, properly executed by the installing contractor in accordance with the applicable NFPA standards. Note. In lieu of witnessing a satisfactory functional test, the building official and fire official or designees, may accept a final performance test report from a registered design professional, or other legally recognized professional, as an acceptance test. Said report shall certify that complete and satisfactory functional tests of all fire protection systems, in accordance with the applicable codes and standards, and that the approved testing criteria and operational sequence, have been witnessed.

901.6.1 Delete.

901.6.2 Delete.

901.7 Replace as follows:

901.7 Signs. All signs required to identify fire protection equipment, equipment rooms and equipment locations shall be constructed of durable materials, be permanently installed and be readily visible. Letters and numbers shall contrast with the sign background, shall be at least two inches in height and shall have an appropriate width-to-height ratio to permit the sign to be read easily from a distance of ten feet. The sign and location shall be approved by the local fire department.

4/11/14 780 CMR - Eighth Edition - 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. 780 CMR: STATE BOARD OF BUILDING REGULATIONS AND STANDARDS

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901.7.1 Add subsection: 901.7.1 Sprinkler Control Valve Room Signs. Where sprinkler control valves are located in a separate room or building, a sign shall be provided on the entrance door. The lettering shall be at least 2½ inches (63.5 mm) in height and shall otherwise conform to section 901.7 and shall read "Sprinkler Control Valves."

902.1 Replace or add definitions as follows: CARBON MONOXIDE DETECTOR. A listed device that activates an alarm upon detection of carbon monoxide.

FIRE AREA. The aggregate area of the building regardless of subdivisions by fire barriers and horizontal assemblies.

MAINTENANCE OF FIRE PROTECTION SYSTEMS. Replacement or repair of any component or components of a fire protection system, where such does not affect system performance and compatibility. No building permit is required for maintenance. Other permits, however, may be required pursuant to M.G.L. c. 148, § 27A and 527 CMR.

MODIFICATIONS, ALTERATIONS, ADDITIONS OR DELETIONS TO FIRE PROTECTION SYSTEMS. Any changes which affect the performance of the fire protection system. Such changes require a building permit and are subject to other permitting requirements pursuant to M.G.L. c. 148, § 27A.

NIGHT CLUBS. See section 303.1.1

903.2 Replace this section as follows: 903.2 Where Required. Automatic sprinkler systems in new buildings and structures shall be provided in the locations described in Table 903.2 and this Section. Note. Automatic sprinkler systems may be required by M.G.L. c. 148, § 26A, 26A½, 26G, 26G½, 26H or 26I, or M.G.L. c. 272 §§ 86 through 86d

903.2 Replace the exception as follows: Exceptions: Automatic sprinklers shall not be required in the following rooms or areas where such rooms or areas are protected with an approved automatic fire detection system and notification in accordance with section 907 that will respond to visible or invisible particles of combustion. Sprinklers shall not be omitted from any room merely because it is damp, of fire- resistance-rated construction or contains electrical equipment. 1. Spaces or areas in telecommunications buildings used exclusively for telecommunications equipment, associated electrical power distribution equipment, batteries and standby engines, provided those spaces or areas are equipped throughout with an automatic smoke detection and notification system in accordance with section 907.2 and are separated from the remainder of the building by not less than 1-hour fire barriers constructed in accordance with section 707 or not less than two-hour horizontal assemblies constructed in accordance with section 712, or both. 2. Any room where the application of water, or flame and water, constitutes a serious life or fire hazard and protected by an alternative automatic fire-extinguishing system in accordance with Section 904. 3. Portions of buildings that comply with Chapter 4 for open parking structures less than 70 feet in height above grade plane. 4. Machine rooms of traction/drum hydraulic elevators, elevator hoistways, or elevator pits. Such elevator machine rooms, hoistways, or pits shall be constructed to meet the fire- resistance rating specified in Table 601 and otherwise as required by the applicable sections of Chapter 7. Where Table 601 requires a higher fire-resistance rating for elevator machine rooms, hoistways, or pits, such rating must be provided unless such ratings are governed by other sections of this code. For elevator installation within atriums also see Chapter 4 for additional fire-resistance rating guidance. Where the elevator machine room is determined to be a true penthouse roof structure, also refer to section 1509.0 for additional fire-resistance rating requirements.

4/11/14 780 CMR - Eighth Edition - 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. 780 CMR: STATE BOARD OF BUILDING REGULATIONS AND STANDARDS

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5. Noncombustible and limited combustible concealed spaces and plenums that contain electrical, data, communications and other cables that are of the types and in the configurations permitted in such spaces by 527 CMR 12.00: Massachusetts Electrical Code (Amendments). 6. Transformer Vaults where all the following conditions are satisfied: a. The cable within the vault is flame retardant or limited combustible. b. The dielectric fluid is a limited combustible fluid. c. The vault is enclosed in three hour fire resistance rated construction. d. The vault is at grade or no more than one level below grade. Access to the vault is directly from the exterior or via a dedicated two hour passageway. e. The vault is protected with automatic smoke detection connected to the building fire alarm system which notifies the fire department upon activation. f. The room is limited to the sole use of the transformer equipment and is limited in size to accommodate said equipment only. Storage is prohibited in the vault enclosure. g. The vault is provided with spill containment. h. An emergency fire plan has been developed with and approved by the fire department. i. Continuous ventilation is provided for the vault enclosure in accordance with the ventilation requirements of NFPA 30. j. The ventilation equipment is dedicated to serve the vault only. k. Standby emergency power, in addition to the normal power source, is provided for the ventilation equipment. l. The vault is no larger in area than 2400 sq. ft. 7. Transformer Vaults where an alternative suppression system is provided for the vault in accordance with section 904 and Exception 6. conditions i., j., and k. are met.

903.2.1 through 903.2.10 Replace these subsections with the Table 903.2:

TABLE 903.2 OCCUPANCY AUTOMATIC SPRINKLER REQUIREMENTS

Provide automatic fire sprinkler system throughout building if one of the following conditions will exist (see Note a): Building having occupancy Building aggregate Building occupant Occupancy located area load A-1 >0 sq. ft. >0 Any level $50 Any floor other than level of exit A-2 [Nightclub] >5,000 sq. ft. discharge for A-2 Use Any floor other than level of exit A-2 [other than Nightclub] >5,000 sq. ft. $100 discharge for A-2 Use Any floor other than level of exit A-3 >5,000 sq. ft. $300 discharge for A-3 Use Any floor other than level of exit A-4 >7,500 sq. ft. $300 discharge for A-4 Use A-5 See Note b B >12,000 sq. ft. ------B [Ambulatory Health Care] See Note c E >12,000 sq. ft. ------E [below level of exit discharge] See Note d More than 3 stories above grade F-1 >12,000 sq. ft. --- plane F-1 [Woodworking Operations] See Note e H >0 sq. ft. >0 Any level Pyroxylin Plastics See Note f Ia >0 sq. ft. >0 Any level M [other than bulk merchandising and More than 3 stories above grade >12,000 sq. ft. --- upholstered furniture display/sale] plane

4/11/14 780 CMR - Eighth Edition - 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. 780 CMR: STATE BOARD OF BUILDING REGULATIONS AND STANDARDS

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TABLE 903.2 OCCUPANCY AUTOMATIC SPRINKLER REQUIREMENTS - continued

Provide automatic fire sprinkler system throughout building if one of the following conditions will exist (see Note a): Building having occupancy Building aggregate Building occupant Occupancy located area load M [bulk merchandising] >0 sq. ft. >0 Any level M [upholstered furniture display/sale] >0 sq. ft. >0 Any level Ra >0 sq. ft. >0 Any level More than 3 stories above grade S-1 >12,000 sq. ft. --- plane More than 3 stories above grade S-1 [with commercial trucks/bus storage] >5,000 sq. ft --- plane S-1 [with repair garage, building more In basement or more than 3 stories >10,000 sq. ft. --- than 2 stories above grade] above grade plane S-1 [with repair garage, building 1 story >12,000 sq. ft. --- In basement above grade] S-1 [with commercial truck/bus repair In basement or more than 3 stories >5,000 sq. ft. --- garage] above grade plane S-1 [with tire storage] See Note g S-2 See Note h & Note i Note a - 1. For Use Group R and I-I Buildings with an aggregate building area of 12,000 sq. ft. or more, and Mixed Use Buildings containing R-Uses, the sprinkler system shall be designed and installed throughout the structure in accordance with NFPA 13. 2. For the purposes of section 903.2, the aggregate building area shall be the combined area of all stories of the building and fire walls shall not be considered to create separate buildings. 3. Buildings of entire R-Use, other than R-l Occupancies and RA2 Dormitories, having no more than three dwelling units and also less than 12,000 aggregate sq. ft. shall be permitted to have an automatic fire suppression system installed in accordance with section 903.3.1.3, provided that every automatic sprinkler system shall have at least one automatic water supply or a stored water supply source in accordance with NFPA-13D where the minimum quantity of stored water shall equal the water demand rate times 20 minutes. 4. Townhouses are required to be protected by automatic sprinkler systems. Note b - Group A-5. An automatic sprinkler system shall be provided in concession stands, retail areas, press boxes and other accessory use areas in excess of 1,000 square feet (93 m2). Note c - Group B ambulatory health care facilities. An automatic sprinkler system shall be installed throughout all fire areas containing a Group B ambulatory health care facility occupancy when either of the following conditions exists at any time: 1. Four or more care recipients are incapable of self-preservation. 2. One or more care recipients who are incapable of self-preservation are located at other than the level of exit discharge serving such an occupancy. Note d – Group E. An automatic sprinkler system shall be installed throughout every portion of educational buildings below the lowest level of exit discharge serving that portion of the building. Note e – Group F [Woodworking Operations]. An automatic sprinkler system shall be installed throughout buildings where there is a woodworking operation in excess of 2,500 square feet (232 m2) in area that generates finely divided combustible waste or uses finely divided combustible materials. Note f - Pyroxylin Plastics. An automatic sprinkler system shall be provided in buildings, or portions thereof, where cellulose nitrate film or pyroxylin plastics are manufactured, stored or handled in quantities exceeding 100 pounds (45 kg). Note g - Bulk storage of tires. An automatic sprinkler system shall be provided throughout buildings and structures where the area for the storage of tires exceeds 20,000 cubic feet (566 m3). Note h - Group S-2. An automatic sprinkler system shall be provided for Group S-2 occupancies as follows: 1. Throughout buildings classified as Group S-2 Enclosed Parking. 2. Throughout Group S-2 Enclosed Parking located beneath other groups. Note i - Commercial Parking Garages. An automatic sprinkler system shall be provided throughout buildings having storage of commercial trucks or buses where the aggregate floor area used for parking exceeds 5,000 square feet (464 m2).

4/11/14 780 CMR - Eighth Edition - 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. 780 CMR: STATE BOARD OF BUILDING REGULATIONS AND STANDARDS

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903.3.1.1.1 Replace as follows: 903.3.1.1.1 Exempt Locations. See 903.2 Exceptions 1. through 7. and section 903.1.1.

903.3.1.3 Replace as follows: 903.3.1.3 NFPA 13D Sprinkler Systems. Only where allowed and utilized in accordance with Table 903.2 Note a, automatic sprinkler systems shall be permitted to be installed in accordance with NFPA 13D.

903.3.5 Add note: Note. See 248 CMR and 310 CMR for backflow preventer requirements.

903.3.5.1.2 Replace as follows: 903.3.5.1.2 Combination Services. A single combination water supply shall be permitted provided that the domestic and/or commercial demand is added to the sprinkler demand as required by NFPA 13, NFPA 13D or NFPA 13R as applicable.

903.4.1 Replace as follows: 903.4.1 Monitoring. Alarm, supervisory and trouble signals shall be distinctly different and shall be automatically transmitted to one of the following NFPA 72 locations: 1. UL listed or FM approved central supervising station, or 2. Approved proprietary supervising station or approved remote supervising station, or 3. Alarm signals to an approved Auxiliary Fire Alarm System in accordance with NFPA 72, with supervisory signals supervised by method a or b identified above, or at a constantly attended location approved by the local fire department, having personnel on duty trained to recognize the type of signal received and to take prescribed action. This shall be permitted to be a location different from that at which alarm signals are received.

903.4.2 Replace as follows: 903.4.2 Alarms. Approved audible and visual alarm devices shall be connected to every water sprinkler system. Such alarm devices shall be activated by waterflow (equivalent to the flow of a single sprinkler of the smallest orifice size installed in the system) and shall be located in an approved location on the exterior of the building and throughout the building in accordance with the requirements of section 907.

903.4.4 Add subsection: 903.4.4 Re-transmission of Alarm Signals Received by Central Stations and Received by Those Operating Approved Remote/Proprietary Station Fire Alarm System Supervising Stations. In all cases, central stations and those operating approved remote/proprietary station fire alarm system supervising stations shall re transmit alarm signals within 90 seconds of receipt, to the fire department having jurisdiction.

903.5 Add note: Note. See section 901.3.

904.5.1 Add subsection: 904.5.1 Discharge Test. All systems shall be tested by a discharge of expellant gas through the piping and nozzles with observations being made of the flow of expellant gas through all nozzles as well as observing for leakage and continuity of piping with free unobstructed flow.

4/11/14 780 CMR - Eighth Edition - 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. 780 CMR: STATE BOARD OF BUILDING REGULATIONS AND STANDARDS

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904.6.1 Add subsection: 904.6.1 Discharge Test. All systems shall be tested by a discharge of expellant gas through the piping and nozzles with observations being made of the flow of expellant gas through all nozzles as well as observing for leakage and continuity of piping with free unobstructed flow.

904.12 Add subsection: 904.12 Water Spray Fixed Systems. Water spray fixed systems shall be installed, maintained, periodically inspected and tested in accordance with NFPA 15 and the listings contained therein.

904.13 Add subsection: 904.13 Water Mist Systems. Water mist systems shall be installed, maintained, periodically inspected and tested in accordance with NFPA 750 and the listings contained therein.

905.3.8 Add subsection: 905.3.8 High-piled Combustible Storage. A class I automatic wet or manual standpipe system shall be provided in all exit passageways of areas containing high-piled combustible storage.

905.3.9 Add subsection: 905.3.9 Travel Distance. A class I automatic wet or manual wet standpipe system shall be provided in all buildings where any portion of the building floor area is more than 400 feet of travel from the nearest point of fire department vehicle access. Vehicle access travel distance is actual distance measure along and/or around the building exterior and shall not be reduced by the addition of fire walls/party walls which otherwise would define individual buildings.

905.10 Replace as follows: 905.10 During Construction. Standpipes systems required during construction and demolition operations shall be provided in accordance with section 3311.0 and NFPA 241.

907.1.2.1 Add subsection: 907.1.2.1 Installer Identification. Shop drawings shall note the name(s), license number(s) and license expiration date(s) of the contractor(s) installing the fire protection systems.

907.2.1.1 Replace as follows and delete the exceptions: 907.2.1.1 System Initiation in Group A Occupancies with an Occupant Load of 300 or More. Activation of the fire alarm in Group A occupancies with an occupant load of 300 or more shall initiate a signal using an emergency voice/alarm communications system in accordance with section 907.5.2.2.

907.2.1.2 Add subsection: 907.2.1.2 A-2 Nightclub Use – Entertainment System Response. The activation of any fire protection system element (signaling system, detection, sprinklering, etc.) shall automatically: 1. Cause immediate illumination of all areas and components of the required means of egress, and additionally; 2. Cause immediate full activation of all other house lighting; and 3. Cause immediate stopping of any and all sounds and visual distractions (public address systems, entertainment and dance lighting, music, etc.) that conflict/compete with the fire protective signaling system.

4/11/14 780 CMR - Eighth Edition - 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. 780 CMR: STATE BOARD OF BUILDING REGULATIONS AND STANDARDS

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907.2.3 Replace as follows: 907.2.3 Group E. A manual fire alarm system that activates the occupant notification system with emergency voice/alarm communication capabilities in accordance with section 907.5 shall be installed in Group E Occupancies. When automatic sprinkler systems or smoke detectors are installed, such systems or detectors shall be connected to the building fire alarm system. Exception. A manual fire alarm system is not required in Group E occupancies with an occupant load of less than 50.

907.2.8.3.1 Add subsection: 907.2.8.3.1 Annunciation. In buildings that are not equipped throughout with an automatic sprinkler system installed in accordance with section 903.3.1.1 or section 903.3.1.2, the smoke detectors in guestrooms shall be connected to the buildings fire alarm systems for the purpose of notifying the guestroom occupants and shall be annunciated by guestroom at a constantly attended location from which the fire alarm system is capable of being manually activated.

907.2.9.1 Replace item 3. as follows: 3. The building contains more than 12 dwelling units or sleeping units.

907.2.11 Replace as follows: 907.2.11 Single- and Multiple-station Smoke Alarms. Listed single- and multiple-station photoelectric type smoke alarms shall be installed in accordance with the provisions of this code and the household fire warning equipment provisions of NFPA 72. Section 907.2.8 shall not preclude the installation of a fully addressable fire alarm system where system detectors and alarm notification devices can perform the functions as required in section 907.2.11.

907.2.15 Add exception as follows: Exception. Buildings sprinklered throughout with automatic sprinklers

907.2.24 Add subsection: 907.2.24 Other Sleeping Areas. An automatic smoke detection system shall be provided for all sleeping areas, and means of egress from sleeping areas in buildings not otherwise required to have smoke detectors by section 907.2.1 through 907.2.23 where any space is used for sleeping purpose.

907.3.3 Replace as follows: 907.3.3 Elevator Emergency Operation. Automatic fire detectors installed for elevator emergency operation shall be installed in accordance with the provisions of 524 CMR 17.00: Power Passenger and Freight Elevators (For Installations Made Prior to July 1, 1989), 524 CMR 35.00: Safety Code for Elevators and Escalators A17.1-2004 and the Massachusetts Modifications of That Code and NFPA 72.

907.3.4 Replace as follows: 907.3.4 Wiring. The wiring to the auxiliary devices and equipment used to accomplish the above fire safety functions shall be monitored for integrity in accordance with 527 CMR 12.00: Massachusetts Electrical Code (Amendments) and NFPA 72.

907.4.1 Delete exception 2. only.

907.5.2.2.5 Add subsection: 907.5.2.2.5 Evacuation. Where the head of the fire department or his/her designee determines that partial or selective evacuation is not desired but rather total evacuation is required, then a distinctive signal in lieu of a voice alarm is permitted.

4/11/14 780 CMR - Eighth Edition - 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. 780 CMR: STATE BOARD OF BUILDING REGULATIONS AND STANDARDS

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907.5.2.3 Add a second sentence as follows: Also refer to 521 CMR 40.00: Alarms for visible alarm requirements in buildings, or portions thereof, open to the public.

907.6.5 Replace as follows: 907.6.5 Monitoring. Fire alarm systems required by section 907 shall be monitored in accordance with section 903.4.1 Exception. Monitoring by a supervising station is not required for: 1. Single and multiple station smoke alarms. 2. Smoke detectors in Group I-3 Occupancies. 3. Automatic sprinkler systems and single- and multi-station smoke detectors in one- and two-family dwellings. 4. Smoke detectors in patient sleeping rooms in occupancies in Group I-2.

909.2 Replace as follows: 909.2 General Design Requirements. Buildings, structures or parts thereof required by this code to have a smoke control system or systems shall have such systems designed in accordance with the applicable requirements of section 909 and the generally accepted and well-established principles of engineering relevant to the design. The construction documents shall include sufficient information and detail to adequately describe the elements of the design necessary for the proper implementation of the smoke control systems. These documents shall be accompanied by sufficient information and analysis to demonstrate compliance with these provisions. An independent third party review is required for smoke control system designs incorporating performance analysis under section 909 (design fire analysis, rational analysis, timed egress analysis), or the smoke control methods of sections 909.6, 909.7, or 909.8 or other alternative design method selected by the registered design professional. The independent third party reviewer shall prepare a written report documenting the review, and submit it to the registered design professional and the building and fire officials. If all parties concur that the analyses are appropriate, the design may be approved pursuant to section 104.11.

909.4.6.1 Add subsection: 909.4.6.1 Exhaust Method Smoke Control. When the exhaust method of section 909.8 is used, the rational analysis shall evaluate exposure of occupants exiting a space to smoke or tenability thresholds. Occupant exposure to smoke or tenability thresholds shall be determined by a timed egress analysis using a minimum duration of 1.5 times the calculated egress time. The smoke control system shall remain operational for the required duration.

909.6 Replace as follows: 909.6 Pressurization Method. When approved by the fire official, the primary mechanical means of controlling smoke shall be by pressure differences across smoke barriers. Maintenance of a tenable environment is not required in the smoke control zone of fire origin.

909.15 Replace as follows: 909.15 Control Diagrams. Identical control diagrams showing all devices in the system and identifying their location and function shall be maintained current and kept on file with the Fire Official and shall be kept on site adjacent to the fire alarm panel in a format and manner approved by the fire chief.

909.18.8.3.1 Replace as follows: 909.18.8.3.1 Report Filing. A copy of the final report shall be filed with the fire code official and building official and an identical copy shall be maintained in an approved location at the building.

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9.00: continued

909.20.6.1.1 I Add subsection: 909.20.6.1.1 Intake Duct Detection. An in duct smoke detector shall be installed just downstream of the fresh air fan. Activation of this detector shall annunciate at the control panel and shall shut down the fan for that particular smoke proof enclosure.

909.21 Add subsection: 909.21 Maintenance. Smoke control systems shall be maintained to ensure to a reasonable degree that the system is capable of controlling smoke for the duration required. The system shall be maintained in accordance with the manufacturer’s instructions and sections 909.21.1 through 909.21.5. 909.21.1 Schedule. A routine maintenance and operational testing program shall be initiated immediately after the smoke control system has passed the acceptance tests. A written schedule for routine maintenance and operational testing shall be established. 909.21.2 Written Record. A written record of smoke control system testing and maintenance shall be maintained on the premises. The written record shall include the date of the maintenance, identification of servicing personnel, and notification of any unsatisfactory condition and the corrective action taken, including parts replaced. 909.21.3 Testing. Operational testing of the smoke control system shall include all equipment such as initiating devices, fans, dampers, controls, doors and windows. 909.21.4 Dedicated Smoke Control Systems. Dedicated smoke control systems shall be operated for each control sequence semiannually. The system shall also be tested under standby power conditions. 909.21.5 Nondedicated Smoke Control Systems. Dedicated smoke control systems shall be operated for each control sequence annually. The system shall also be tested under standby power conditions.

912.6 Add subsection: 912.6 Connections. Fire department connections shall be such that attachment to any one water sprinkler connection will serve all sprinklers, and attachment to any one standpipe connection will serve all standpipes within the building.

913.6 Add subsection: 913.6 Second Power Source. All electric driven fire pumps shall be provided with emergency power from an on-site emergency generator system set when the fire pump is installed as protection for a building or structure with any one of the following characteristics: 1. High-rise building 2. Use Group A with a total occupant load of more than 300 occupants. 3. Use Group E with a total occupant load of more than 300 occupants. 4. Use Group H 5. Use Group I having surgery or treatment areas.

915.1 Replace as follows: 915.1 General. Emergency responder radio coverage shall be provided in all new buildings in accordance with sections 915.2 and 915.3.

915.2 Add subsection: 915.2 Emergency Responder Radio Coverage in Buildings. All buildings shall have approved radio coverage for emergency responders within the building based upon the existing coverage levels of the public safety communication systems of the jurisdiction at the exterior of the building. This section shall not require improvement of the existing public safety communication systems. Exceptions: 1. Where approved by the fire official, a wired communication system in accordance with section 907.2.13.2 shall be permitted to be installed or maintained in lieu of an approved radio coverage system.

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9.00: continued

2. Where it is determined by the fire official that the radio coverage system is not needed.

915.3 Add subsection: 915.3 Emergency Responder Radio Coverage in Buildings shall be designed and installed in accordance with NFPA 72. 916 Add section: 916 CARBON MONOXIDE PROTECTION 916.1 General. Carbon monoxide protection shall be provided in accordance with 527 CMR 31.00: Carbon Monoxide Alarms and 248 CMR as listed in Chapter 35: Referenced Standards, in addition to this Code. Carbon monoxide alarms, carbon monoxide detectors and combination smoke/carbon monoxide alarms and combination smoke/carbon monoxide detectors described in sections 916.1.1 through 916.1.4 shall be installed and maintained in accordance with the provisions of this code, 527 CMR 31.00, 248 CMR, NFPA 72 and NFPA 720. 916.1.1 Carbon Monoxide Alarms. Single- or multiple-station carbon monoxide alarms shall be listed and labeled in accordance with ANSI/UL 2034. 916.1.2 Carbon Monoxide Detectors. Carbon monoxide detectors shall be listed and labeled in accordance with ANSI/UL 2075. 916.1.3 Combination Smoke/Carbon Monoxide Alarms. Combination smoke/carbon monoxide alarms shall be listed and labeled in accordance with ANSI/UL 217 and ANDI/UL 2034. The smoke alarm shall utilize photoelectric sensing technology. 916.1.4 Combination Smoke/Carbon Monoxide Detectors. Combination smoke/ carbon monoxide detectors shall be listed and labeled in accordance with ANSI/UL 268 and ANDI/UL 2075. The smoke alarm shall utilize photoelectric sensing technology. 916.2 Primary Power to CO Alarms/Detectors. Required carbon monoxide alarms, carbon monoxide detectors, combination smoke/carbon monoxide alarms or combination smoke/carbon monoxide detectors shall receive their power by one of the following means: 1. Listed carbon monoxide alarms shall receive their primary power from the building wiring when such wiring is served from a commercial source and without a disconnecting switch other than those required for overcurrent protection. Listed carbon monoxide alarms that are only battery-powered, plug-in or plug-in with battery backup shall not be permitted in new construction. 2. Listed carbon monoxide detectors shall receive their power from the approved control panel. The approved control panel shall receive its primary power from the building wiring when such wiring is served form a commercial source and without a disconnecting switch other than those required for overcurrent protection. 3. Listed low-power radio frequency (wireless) detectors shall be permitted to be battery powered when the battery is electrically supervised and shall be capable of sending an alarm signal to the approved control panel for a minimum of seven days after sending the initial battery depletion signal. 916.2.1 Secondary Power to CO Alarms/Detectors. All CO alarms/detectors shall have secondary (standby power supplied from monitored batteries or other recognized sources of secondary power in accordance with NFPA 72. For fire alarm control units (panels), the panel battery can serve as the source of secondary electrical power. For wireless systems, the panel battery can serve as the source of secondary electrical power.

916.3 Interconnection. Where more than one listed carbon monoxide alarm or combination smoke/carbon monoxide alarm is required to be installed within a dwelling unit they shall be interconnected in such a manner that the activation of one carbon monoxide alarm or combination smoke/carbon monoxide detector shall activate the carbon monoxide audible notification devices throughout the individual dwelling unit by the detector or separate notification device.

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9.00: continued 916.4 Installation Requirements. All carbon monoxide alarms, carbon monoxide detectors, combination smoke/carbon monoxide alarms or combination smoke/carbon monoxide detectors shall be UL 2034 listed or UL 2075 listed, as applicable, and installed in accordance with the provisions of this code, the manufacturer’s instructions, the listing criteria, 527 CMR 12.00: Massachusetts Electrical Code (Amendments) and NFPA 720.

916.5 Alarm Signal Precedence. Carbon monoxide alarms/detectors shall be compatible with all interconnected fire detection devices and fire alarm signals shall have precedence over carbon monoxide alarm signals in accordance with the applicable requirements of NFPA 720. 916.5.1 Notification Devices. Where visual and audible notification are via separate lighting and sounding devices, such devices shall be compatible with the fire protection system and installed in accordance with the requirements of 527 CMR 12.00: Massachusetts Electrical Code (Amendments).

917 Add section:

917 PRIVATE UNDERGROUND FIRE MAINS AND YARD HYDRANTS 917.1 Private Underground Fire Mains and Yard Hydrants. Fire hydrants and underground fire mains installed on private property shall be located and installed as approved by the head of the fire department. Hydrants shall conform to the standards of the administrative authority of the jurisdiction and the fire department. Hydrants shall not be installed on a water main less than six inches in diameter. Standards of construction shall be in accordance with NFPA 24 as listed in Chapter 35: Referenced Standards.

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(PAGES 63 AND 64 ARE RESERVED FOR FUTURE USE.)

4/11/14 780 CMR - Eighth Edition - 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. Docket # 764

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 780 CMR 34.00

CHAPTER TITLE: Existing Structures

AGENCY: State Board of Building Regulations and Standards

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. Provides requirements for existing commercial and large residential structures.

These changes are a direct result of the BBRS direction to its advisory committees to reduce regulations and target those regulations that add to the cost of construction without commensurate life safety benefits.

REGULATORY AUTHORITY: C.802 of Acts of 1972, as amended, and MGL C.143 Sections 93-100.

AGENCY CONTACT: Don Finocchio PHONE: 617-826-5206

ADDRESS: One Ashburton Place, 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. MMA and OCD, January 9, 2014

PUBLIC REVIEW - M.G.L. c. 30A sections 2 and/or 3 requires notice of the hearing or comment period, including a small business impact statement, 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: February 11, 2014

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 115 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:

For the first five years: Improves ease of use which may reduce costs.

No fiscal effect:

SMALL BUSINESS IMPACT - M.G.L. c. 30A section 5 requires each agency to file an amended small business impact statement with the Secretary of the Commonwealth prior to the adoption of a proposed regulation. If the purpose of this regulation is to set rates for the state, this section does not apply.

Date amended small business impact statement was filed: March 10, 2014

CODE OF MASSACHUSETTS REGULATIONS INDEX - List key subjects that are relevant to this regulation: Reduces regulations for ease of use and targets those regulations that add to the cost of construction without commensurate life safety benefits.

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 780 CMR 34.0

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: Mar 12 2014

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1258 DATE: 04/11/2014

EFFECTIVE DATE: 04/11/2014

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: 133 - 146 133 - 142

03/19/2014 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 116 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 780 CMR: STATE BOARD OF BUILDING REGULATIONS AND STANDARDS

780 CMR: MASSACHUSETTS AMENDMENTS TO THE INTERNATIONAL EXISTING BUILDING CODE 2009

CHAPTER 34: EXISTING STRUCTURES

101.1 Replace as follows:

101.1 Title. These regulations shall be known as the Existing Building Code of Massachusetts, hereinafter referred to as "this code."

101.2 Replace as follows:

101.2 Scope. The provisions of this code shall apply to the repair, alteration, change of occupancy, addition, and relocation of existing buildings. See Table 101.2 below which includes, but is not limited to, applicable laws and specific use of other regulations.

TABLE 101.2 APPLICABLE LAWS AND REGULATIONS Unless directed otherwise in this code, reference to: Shall mean to use the requirements found in:

International Plumbing Code 248 CMR: Board of Plumbers and Gas Fitters Regulations

International Property Maintenance Code 780 CMR 1.00: Scope and Administration

International Fire Code (IFC) Reference to sections of the International Fire Code (IFC) for fire prevention requirements shall be considered reference to 527 CMR: Board of Fire Prevention Regulations. The fire official enforces the provisions of 527 CMR. Reference to sections of the International Fire Code (IFC) 2009 Edition for building code requirements are adopted, except that retroactive requirements of the IFC are not adopted. The building official enforces 780 CMR and all adopted IFC requirements. Also see MGL c. 148, § 9.

International Electrical Code 527 CMR 12.00: Massachusetts Electrical Code (Amendments)

International Energy Conservation Code (IECC) 780 CMR 13 and 51 (IECC with MA amendments)

International Mechanical Code (IMC) Reference to the IMC shall apply to all mechanical systems except for that which is defined as sheet metal work by M.G.L. c. 112, § 237. The provisions of 271 CMR shall apply to all sheet metal work as defined by M.G.L. c.112, § 237. Note: 527 CMR may cover certain fire protection requirements of the IMC.

International Fuel Gas Code 248 CMR: Board of Plumbers and Gas Fitters Regulations

International Residential Code (IRC) 780 CMR 51.00: Residential Volume (IRC 2009 Edition with MA amendments).

International Building Code (IBC) or 780 CMR 780 CMR Base Volume a.k.a. IBC with MA amendments.

Construction in flood areas 780 CMR: Appendix G: Flood-resistant Construction

Accessibility 521 CMR: Architectural Access Board Regulations

Elevators and lifts 524 CMR: Board of Elevator Regulations

Sprinkler Systems This code (780 CMR 34.00) or if applicable M.G.L. c. 148, § 26A, 26A½, 26G, 26G½, 26H or 26I, or M.G.L. c. 272 §§ 86 through 86d

Other requirements Refer to:

for Carbon Monoxide Protection in all R-Uses 780 CMR 9.00: Fire Protection Systems

for A-2 Nightclubs Use 780 CMR 1.00, 3.00, 9.00 and 10.00

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34.00: continued

101.5.0 Add subsections:

101.5.0 Compliance Alternatives. Where compliance with the provisions of the code for new construction, required by this code, is impractical because of construction difficulties or regulatory conflicts, compliance alternatives may be accepted by the building official. The building official may accept these compliance alternatives, archaic materials and assemblies in Resource A of this code, or others proposed. If the compliance alternative involves fire protection systems the building official shall consult with the fire official. 101.5.0.1 Submittals. The application for a permit shall be in accordance with 780 CMR 1.00: Scope and Administration and identify all items of non- or partial compliance with the requirements of this code, and compliance alternatives, if any are proposed, for approval by the building official. The building official shall respond to the acceptability of any proposed compliance alternatives within 30 days of the filing of the permit application. Where proposed compliance alternatives are, in the opinion of the building official, unacceptable, or where issues of non-compliance remain, the permit applicant shall have the remedies prescribed by 780 CMR, section 113.

101.5.4.0 Add subsection:

101.5.4.0 Investigation and Evaluation. For any proposed work regulated by this code and subject to 780 CMR, section 107, as a condition of the issuance of a permit the building owner shall cause the existing building (or portion thereof) to be investigated and evaluated in accordance with the provisions of this code The investigation and evaluation shall be in sufficient detail to ascertain the effects of the proposed work on at least these systems: structural, means of egress, fire protection, energy conservation, lighting, hazardous materials, and ventilation for the space under consideration and, where necessary, the entire building or structure and its foundation if impacted by the proposed work. The results of the investigation and evaluation, along with any proposed compliance alternatives, shall be submitted to the building official in written report form. 1. 780 CMR using 100% of the prescribed forces. For existing buildings with seismic force S resisting systems found in Table 101.5.4.1.0, the values of R, 0d, and C from this table shall be used in the analysis. For seismic force resisting systems not found in Table 101.5.4.1.0, S the values of R, 0d, and C used for analysis in accordance with 780 CMR 16.00: Structural Design shall be those specified for structural systems classified as "Ordinary" in accordance with Table 12.2-1 of ASCE 7, unless it can be demonstrated that the structural system satisfies the proportioning and detailing requirements for systems classified as "Intermediate" or "Special".

101.4.1.0 Insert Table 101.5.4.1.0

TABLE 101.5.4.1.0 S BASIC SEISMIC-FORCE-RESISTING SYSTEM R 0dC Bearing Wall Systems Steel concentrically braced frame (CBF) with diagonal 3 or X-bracing CBF per 6th Edition SBC2 except for section 9.5 of 1992 AISC Seismic Provisions 3.5 2 3.5 Otherwise4 3 3 3 Steel CBF with V, Inverted V or K bracing V or Inverted V bracing per 6th Edition SBC2 3 3 3 V or Inverted V bracing, otherwise4 3 3 3 K bracing 1.25 1.25 1.25 Reinforced concrete shear walls with boundary elements and without coupling beams, in 5 2.5 5 accordance with 780 CMR 1113.5.1.4a, 5th Edition Reinforced concrete shear walls with reinforcing steel less than required by, or with spacing 1.5 1.5 1.5 greater than permitted by Section 11.9.9 of ACI 318-08 Unreinforced concrete shear walls 1.25 1.25 1.25 Reinforced masonry shear walls Class A5 4.5 2.5 3.5 Class B6 2.25 2.25 2.25 Class C7 1.25 1.25 1.25 Unreinforced masonry shear walls 1.25 1.25 1.25

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34.00: continued

Table 101.5.4.1.0 - continued Light-framed walls sheathed with wood structural panels or diagonal sheathing 4 2.5 3 Other light-framed walls10 2 2 2 Building Frame Systems Steel concentrically braced frame (CBF) with diagonal 3 or X-bracing CBF per 6th Edition SBC2 except for section 9.5 of 1992 AISC Seismic Provisions 4 2 3.5 Otherwise4 3 3 3 Steel CBF with V, Inverted V or K bracing V or Inverted V bracing per 6th Edition SBC2 3 3 3 V or Inverted V bracing, otherwise4 3 3 3 K bracing 1.5 1.5 1.5 Reinforced concrete shear walls with boundary elements and without coupling beams, in 6 2.5 5 accordance with 780 CMR 1113.5.1.4a, 5th Edition Reinforced concrete shear walls with reinforcing steel less than required by, or with spacing 1.5 1.5 1.5 greater than permitted by section 11.9.9 of ACI 318-08 Unreinforced concrete shear walls 1.5 1.5 1.5 Reinforced masonry shear walls Class A5 5 2.5 4 Class B6 2.25 2.25 2.25 Class C7 1.5 1.5 1.5 Unreinforced masonry shear walls 1.5 1.5 1.5 Light-framed walls sheathed with wood structural panels or diagonal sheathing 4 2.5 3 Other light-framed walls10 2.5 2.5 2.5 Moment Resisting Frame Systems Steel moment frames Special Moment Frame per 6th Edition SBC2 8 3 5.5 Ordinary Moment Frame per 6th Edition SBC2 3.5 3.5 3.5 Moment frame, otherwise4 3 3 3 Reinforced concrete moment frames Class A8 5 3 4.5 Class B9 2.5 2.5 2.5 Dual Systems (See ASCE 7, Section 12.2.5.1) Steel concentrically braced frame (CBF) with steel moment frames (MF) CBF and Special Moment Frame, per 6th Edition SBC2 5 2.5 4.5 CBF and Moment Frame per 1st through 5th Editions SBC2, except V, Inverted V or K 3.5 2.5 3.5 Braced Frames CBF and Moment Frame per 1st through 5th Editions SBC2, with V, Inverted V or K 3 2.5 3 Braced Frames Otherwise 1.5 1.5 1.5 Reinforced concrete shear walls with boundary elements and without coupling beams, in accordance with 780 CMR 1113.5.1.4a, 5th Edition, with reinforced concrete moment frames, 6 2.5 5 Class A8 Ordinary reinforced concrete shear walls, as defined in 8th Edition SBC, with reinforced concrete 5.5 2.5 4.5 moment frames, Class A8

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34.00: continued

Table 101.5.4.1.0 - continued Notes: 1. Systems of previous editions of the State Building Code that meet the ductility requirements of the 8 th Edition of the Code are not included in this table. 2. SBC refers to 780 CMR Commonwealth of Massachusetts State Building Code. 3. A diagonal brace is one that frames from a beam-to-column connection diagonally to another beam-to-column connection or to a column at its base plate. 4. The seismic resistance of the frame shall be based on its seismic connections being subject to two times the computed forces and moments resulting from seismic load. 5. Class A reinforced masonry shear walls have a minimum total area of reinforcement in the vertical and horizontal direction at least 0.0020 times the gross cross-sectional area of the wall, with a minimum area in each direction at least 0.0007 times the gross cross-sectional area of the wall. Maximum spacing of reinforcing steel bars in grouted cells or bond courses is 6'-0" in one direction and 4'-0" in the other direction, but not more than a of the length or height of the wall, whichever is less, in each direction. Class A walls satisfy other requirements for reinforced masonry of the base code. 6. Class B reinforced masonry shear walls satisfy all requirements for Class A walls, except that spacing limits for reinforcing steel bars are exceeded. 7. Class C reinforced masonry shear walls satisfy all requirements for reinforced masonry of the base code. 8. Class A reinforced concrete moment frames satisfy requirements of Sections 1113.5.1, 1113.5.1.1, 1113.5.1.2 and 1113.5.1.3 of 780 CMR 5th Edition and Sections 11.12.1.1 and 11.12.1.2 of ACI 318-83 for reinforcing of beam to column joints. 9. Class B reinforced concrete moment frames do not satisfy requirements for Class A reinforced concrete moment frames. 10. Wood siding over horizontal or diagonal boards, plaster on wood or metal lath, and stucco on metal lath may be used to resist in-plane shear, where the walls are anchored to floors and to the floor or roof construction above such that they can transfer the shear between floors and to the foundation. Gypsum sheathing, lath, wall board, drywall, fiberboard and particle board are not permitted to resist in-plane shear unless originally designed in accordance with 780 CMR for that purpose.

101.5.4.2 Add these exceptions to Item 1.

Exceptions: 1. 780 CMR using 50% of prescribed forces when directed here by section 807.4.3 2. 780 CMR using either a. 50 % of prescribed forces when directed here by section 1003.3.1 and when the vertical addition increases the building area less than or equal to 30% or, b. 75% of prescribed forces when directed here by section 1003.3.1 and when the vertical addition increases the building area more than 30% but less than 50%.

101.9 Add subsection:

101.9 Cumulative Effects of Alterations, Additions, or Changes of Occupancy on Structural Elements. As noted in several sections of this code, evaluation of structural elements and their connections shall consider the cumulative effects of alterations, additions, or changes of occupancy since original construction. Exception. When structural work: 1. does not involve more than 2% of the total tributary area of horizontal framing members of any existing framed floor or roof and, 2. does not alter shear walls above the foundation and, 3. does not alter columns or diagonal braces and, 4. does not create an opening in any framed floor or roof that has an area more than 2% of the framed floor or roof and, 5. does not alter any floor or roof diaphragm and its connections such that in-plane shear resistance is reduced by more than 5% and, 6. does not remove or reconfigure lateral load resisting frames, or foundations supporting them.

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34.00: continued

102.2 Replace as follows:

102.2 Other Laws and Specialty Codes. See 780 CMR 1.00: Scope and Administration.

PART 2 - ADMINISTRATION AND ENFORCEMENT and all sections contained within it, replace with:

PART 2 - ADMINISTRATION AND ENFORCEMENT. For administration and enforcement provisions refer to 780 CMR 1.

202 Replace two and add two definitions as follows:

CODE OFFICIAL. See BUILDING OFFICIAL in 780 CMR 2.00: Definitions.

COMPLIANCE ALTERNATIVE. An alternative life-safety construction feature which meets or exceeds the requirements or intent of a specific provision of 780 CMR. The building official is authorized to approve or disapprove compliance alternatives. Compliance alternatives are allowed only for existing buildings.

HOUSE MUSEUM. A house museum is an historic building or structure. The principal use of such must be as an exhibit of the building or the structure itself which is open to the public not less than 12 days per year, although additional uses, original and/or ancillary to the principal use shall be permitted within the same building up to maximum of 40% of the gross floor area. All entries into the house museum list shall be certified by the Massachusetts Historical Commission. The list can be found at http://www.sec.state.ma.us/mhc/.

REGISTERED DESIGN PROFESSIONAL IN RESPONSIBLE CHARGE. See REGISTERED DESIGN PROFESSIONAL in 780 CMR 2.00: Definitions.

301.1.1 Add a last sentence as follows:

Addition or replacement of roofing or replacement of equipment shall comply with section 606.2 and 606.3 as applicable.

302.3 After the first sentence, add this sentence:

The cumulative effect of the load increase since original construction shall be considered.

303.3 After the first sentence, add this sentence:

The cumulative effect of the load increase since original construction shall be considered.

303.7 Add Section:

303.7 Seismic Hazards. Compliance with this section is required where the work area exceeds 50% of the aggregate area of the building. 303.7.1 Wall Anchors for Concrete and Masonry Buildings. For any building assigned to Seismic Design Category B, C, D, E or F with a structural system consisting of concrete or reinforced masonry walls with flexible roof or floor diaphragms or unreinforced masonry walls with any type of roof or floor diaphragm, the alteration work shall include installation of wall anchors at the roof and floor levels to resist the reduced IBC-level seismic forces specified in section 101.5.4.2, unless an evaluation demonstrates compliance of existing wall anchorage. 303.7.2 Bracing for Unreinforced Masonry Parapets. Parapets constructed of unreinforced masonry in buildings assigned to Seismic Design Category B, C, D, E or F shall have bracing installed as needed to resist the reduced IBC-level seismic forces specified in section 101.5.4.2, unless an evaluation demonstrates compliance of such items. Parapet corrective work shall be performed in conjunction with the installation of tension roof anchors. The minimum height of a parapet above any wall anchor shall be 12 inches. Exception: If the maximum height of an unbraced unreinforced masonry parapet above the lower of either the level of tension anchors or the roof sheathing does not exceed a height-to-thickness ratio of 2.5, then bracing is not required.

4/11/14 780 CMR - Eighth Edition - 137 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 780 CMR: STATE BOARD OF BUILDING REGULATIONS AND STANDARDS

34.00: continued

606.2 To exceptions 1 and 2, add a second sentence as follows:

The cumulative effect of the load increase since original construction shall be considered.

606.3.1 Add this exception:

Exception: If the maximum height of an unbraced unreinforced masonry parapet above the lower of either the level of tension anchors or the roof sheathing does not exceed a height-to-thickness ratio of 2.5, then bracing is not required.

606.3.2 Modify as follows:

606.3.2 Roof Diaphragms Resisting Wind Loads in High Wind Regions. Where roofing materials are removed from the entire roof diaphragm of a building located where the basic wind speed is 115 mph or greater and the occupancy category is type IV as defined in Table 1604.5 of 780 CMR, roof diaphragms and connections that are part of the main wind-force resisting system shall be evaluated for the wind loads specified in 780 CMR, including wind uplift. If the diaphragms and connections in their current condition do not comply with those wind provisions, they shall be replaced or strengthened in accordance with the loads specified in 780 CMR.

701.1 Replace the exception as follows:

Exception. Buildings in which the reconfiguration is exclusively the result of compliance with the accessibility requirements of the Architectural Access Board at 521 CMR.

704.2.2 Add this exception:

Exception. R-2 structures of three units, undergoing Level 2 renovations, are exempt from the requirements of this section provided that: 1. The work area is on a single unit and, 2. No other permits for Level 2 work have been issued for the building in the previous two years.

704.2.2 Item 3.,704.2.3, and 704.2.4 Item 2. Delete the word 'municipal'

704.2.5 Replace as follows:

704.2.5 Supervision. Fire sprinkler systems required by this section shall be supervised in accordance with 780 CMR 9.00: Fire Protection Systems.

704.4.1.1 through 704.4.1.7, and 704.4.3 Replace International Fire Code with 780 CMR 9.00: Fire Protection Systems.

705.2 Delete Exception 1.

705.4.4 Insert after the '100' text as follows:

'and Nightclubs with an occupant load of 50 or greater'

707.4 Add this as a second sentence to Exception 1:

The cumulative effect of the stress increase since original construction shall be considered for the purposes of this exception.

707.5.1 Add subsection:

707.5.1 Irregularities. Where the alteration results in a structural irregularity as defined in ASCE 7, the lateral load-resisting structural elements shall comply with the structural requirements specified in section 807.4.

4/11/14 780 CMR - Eighth Edition - 138 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 780 CMR: STATE BOARD OF BUILDING REGULATIONS AND STANDARDS

34.00: continued

802.1 Replace this section as follows:

802.1 High-rise Buildings. High-rise buildings as defined by 780 CMR 2.00: Definitions shall comply with the requirements of section 802.1.1.

804.1.1 Delete the word 'municipal' which occurs in two locations.

804.2.1 Delete Exception 2.

807.4.3 At the end of this section add these two sentences:

For the purposes of calculating demand-capacity ratios, the demand shall consider applicable load combinations with design lateral loads or forces in accordance with 780 CMR, sections 1609 and 1613. For purposes of this section, comparisons of demand-capacity ratios and calculation of design lateral loads, forces, and capacities shall account for the cumulative effects of additions and alterations since original construction.

807.5 Add sections:

807.5 Seismic Hazards. Compliance with this section is required only when the work area exceeds 50% of the aggregate area of the building. 807.5.1 Wall Anchors for Concrete and Masonry Buildings. For any building assigned to Seismic Design Category B, C, D, E or F with a structural system consisting of concrete or reinforced masonry walls with flexible roof or floor diaphragms or unreinforced masonry walls with any type of roof or floor diaphragm, the alteration work shall include installation of wall anchors at the roof and floor levels to resist the reduced IBC-level seismic forces specified in section 101.5.4.2, unless an evaluation demonstrates compliance of existing wall anchorage. 807.5.2 Bracing for Unreinforced Masonry Parapets. Parapets constructed of unreinforced masonry in buildings assigned to Seismic Design Category B, C, D, E or F shall have bracing installed as needed to resist the reduced IBC-level seismic forces specified in section 101.5.4.2, unless an evaluation demonstrates compliance of such items. Parapet corrective work shall be performed in conjunction with the installation of tension roof anchors. The minimum height of a parapet above any wall anchor shall be 12 inches. Exception: If the maximum height of an unbraced unreinforced masonry parapet above the lower of either the level of tension anchors or the roof sheathing does not exceed a height-to-thickness ratio of 2.5, then bracing is not required.

902.1 Add items 10. and 11. and the note as follows:

10. Day care. (see 780 CMR for classification) 11. Group homes. Note. Also see section 912 when change of occupancy classification occurs

907.1 Add this as a second sentence to the exception:

The cumulative effect of the stress increase since original construction shall be considered for the purpose of this exception.

907.3.1 Replace first paragraph and Exception 1 as follows:

907.3.1 Compliance with the International Building Code Level Seismic Forces. Where a building or portion thereof is subject to a change of occupancy that results in the building being assigned to a higher occupancy category based on 780 CMR Table 1604.5, the building shall comply with seismic forces as specified in section 101.5.4.1 for the new occupancy category. Exceptions: 1. Any occupancy being changed to Group A, E, I-1, R-1, R-2 or R-4 occupancies for buildings less than six stories in height and in Seismic Design Category A, B or C.

1002.3 Delete

4/11/14 780 CMR - Eighth Edition - 139 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 780 CMR: STATE BOARD OF BUILDING REGULATIONS AND STANDARDS

34.00: continued

1003.2 To exception 1 add a second sentence as follows:

The cumulative effect of the stress increase since original construction shall be considered for the purpose of this exception.

1003.3.1 Add a second sentence as follows:

Where the addition increases the building area less than 50%, the evaluation and analysis shall demonstrate compliance with reduced seismic force levels as specified in section 101.5.4.2.

1003.4 To exception 1 add a second sentence as follows:

The cumulative effect of the stress increase since original construction shall be considered for the purpose of this exception.

1101.1 Replace this section as follows:

1101.1 Scope. It is the intent of this chapter to provide means for the preservation of historic buildings as certified by the Massachusetts Historical Commission. There is no obligation for owners of historic buildings to use the provisions of this chapter. This chapter shall preempt all other regulations of 780 CMR governing the reconstruction, renovation, alteration, change of use and occupancy, repair, maintenance and additions for the conformity of historic buildings and structures to 780 CMR, with the exception of 780 CMR, section 113 for appeals, or unless otherwise specified. In case of fire or other casualty to a historic building, said building may be rebuilt, in total or in part, using such techniques and materials as are necessary to restore it to its original condition and use group. If a building or structure as a result of proposed work would become eligible for certification as a historic building and the Massachusetts Historical Commission so certifies by affidavit, and such affidavit is submitted to the building official with the permit application, then the building official shall have the authority to allow the work to proceed under the provisions of this chapter.

1101.3 Replace all references to 'museum' with 'house museum'

1103.3 Add a second paragraph as follows:

Where one or more floors of a house museum are limited to one means of egress, the occupancy load shall be computed as follows: 1. Floors below the First Story. Not more than one occupant per 100 square feet of gross floor area with a maximum occupancy of 49. 2. First Story. Not more than one occupant per 50 square feet of gross floor area. 3. Second Story and Above. Not more than one occupant per 100 square feet of gross floor area, or 30 occupants per 22 inch unit of egress width, whichever condition results in the lesser occupancy load.

1103.12 Replace as follows:

1103.12 Fire Protection Equipment. Fire protection equipment shall be provided for house museums according to the following requirements: 1. Manual Fire Extinguishing Equipment. All use groups, other than R-3 and R-4, shall have approved manual fire extinguishing equipment, as determined by the head of the local fire department. 2. Fire Alarm Systems. Use groups R-1, R-2 and R-3 shall conform to the requirements of 780 CMR 907, as applicable. All other use groups shall comply with section 1103.12 items 2.(a) and (b). (a) Locations. Provide smoke detectors in accordance with manufacturers listing and spacing requirements, but not less than one, for every 1200 square feet of floor area per level. In addition, all lobbies, common corridors, hallways and exitway access and discharge routes shall be provided with approved smoke detectors installed in accordance with the manufacturers listing and spacing requirements but not more than 30 feet spacing between detectors. All required smoke detectors shall have an alarm audible throughout the structure or building. (b) Single Station and Multiple Station Smoke Detection Devices. As required by 780 CMR 9.00: Fire Protection Systems.

4/11/14 780 CMR - Eighth Edition - 140 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 780 CMR: STATE BOARD OF BUILDING REGULATIONS AND STANDARDS

34.00: continued

3. Manual Pull Stations. A manual fire alarm pull station shall be provided in the natural path of egress in all use groups except R-3 and R-4. Manual pull stations shall be connected to the building fire warning system in conformance with NFPA 72. Exception. House museums which are provided with an approved automatic fire-extinguishing system throughout shall not be required to be provided with manual fire extinguishing equipment. Smoke detection devices shall not be required in occupancies other than Use Groups R-1, R-2, and R-3.

1103.12.1 Supervision. Fire alarm systems required by this section shall be supervised in accordance with the requirements 780 CMR 9.00: Fire Protection Systems. Exception. Residential single and multiple station smoke detectors.

1106.1 Add a second exception as follows:

Exceptions 2. House museums need not comply with the wind load and seismic load requirements of this code.

1301.2 Delete the first sentence of this section.

1301.3.4 Add section:

1301.3.4 Peer Review. At the discretion of the building official, the owner shall engage a registered design professional to review the performance compliance evaluation and methodologies proposed to determine compliance with this section. The registered design professional shall prepare a written report to the building official summarizing the results of their review. Items identified by the registered design professional as needing modification in order to be in compliance with this section shall be addressed to the satisfaction of the building official prior to the issuance of a building permit.

1301.6.17 Add note as follows:

Note. Automatic sprinklers required by M.G.L. c. 148 § 26G need not be considered "Required sprinklers" for the purposes of this section.

1401.1 Add two notes at the end of this section:

Note 1. As applicable, Department of Environmental Protection (DEP) Regulations, 310 CMR 7.09: U: Dust, Odor, Construction and Demolition, and the requirements of M.G.L. c. 111 § 150A, addressing disposal of demolition debris, must be satisfied. Note 2. As applicable, 527 CMR, in conjunction with M.G.L. c. 148 § 27A must be satisfied if fire protection systems are to be dismantled, shut-off, or modified.

1401.4.1 Add section:

1401.4.1 Removal of Waste Material. Material shall not be dropped by gravity or thrown outside the exterior walls of a building during demolition or erection, chutes shall be provided for the removal of such materials. Where the removal of any material will cause an excessive amount of dust, such material shall be wet down to prevent the creation of a nuisance. Exception. The requirements of this section may be waived based on site conditions if approved by the building official.

1401.5 Replace 'the International Plumbing Code' with 'the requirements of the Department of Public Health and 248 CMR, as applicable'.

1407.1 Replace 'section 110.3' with 780 CMR 1.00: Scope and Administration.

1409 Delete this section.

4/11/14 780 CMR - Eighth Edition - 141 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 780 CMR: STATE BOARD OF BUILDING REGULATIONS AND STANDARDS

34.00: continued

Appendix A106.2 Add subsection 4 as follows:

4. The values contained in Table A106.2 shall be used as material property values of the existing material listed therein, unless values are specified by other provisions in this chapter, or values are used, based on available historical information for a particular type of masonry construction, prevailing codes, and assessment of existing conditions.

A106.2 Insert TABLE A106.2 MATERIAL PROPERTY VALUES

TABLE A106.2 MATERIAL PROPERTY VALUES

Symbol/Notat Description Maximum Value Notes ion

f m See section A104 300 psi Per section A108.3

E mmElastic Modulus in Compression 550,000 psi Based on f = 1,000 psi

f sp See section A104 0 psi -

v m Masonry with running bond lay-up 20 psi -

v m Masonry, fully grouted, with a lay-up 20 psi - other than running bond

v m Masonry, partially grouted or 10 psi - ungrouted, with a lay-up other than running bond

(PAGES 143 THROUGH 146 ARE RESERVED FOR FUTURE USE.)

4/11/14 780 CMR - Eighth Edition - 142 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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 # 278

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

CHAPTER NUMBER: 961 CMR 2.00

CHAPTER TITLE: Rules and Regulations

AGENCY: State Lottery Commission

THIS REGULATION WAS ORIGINALLY FILED AS AN EMERGENCY: Published in Massachusetts Register Number: 1253 Date: 01/31/2014

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. Not applicable

PUBLIC REVIEW - M.G.L. c. 30A sections 2 and/or 3 requires notice of the hearing or comment period, including a small business impact statement, 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: February 14, 2014

SMALL BUSINESS IMPACT - M.G.L. c. 30A section 5 requires each agency to file an amended small business impact statement with the Secretary of the Commonwealth prior to the adoption of a proposed regulation. If the purpose of this regulation is to set rates for the state, this section does not apply.

Date amended small business impact statement was filed: March 11, 2014

AGENCY CONTACT: MSLC General Counsel William J. Egan, Jr. PHONE: 781-849-5515

ADDRESS: 60 Columbian Street, Braintree, MA 02184

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

SIGNATURE ON FILE Mar 12 2014 SIGNATURE: DATE:

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 121 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. Publication - To be completed by the Regulations Division MASSACHUSETTS REGISTER NUMBER: 1258 DATE: 04/11/2014 EFFECTIVE DATE: 01/19/2014 CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages:

03/18/2014 cm

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State 122 Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 961 CMR: STATE LOTTERY COMMISSION

2.63: Multi-state Game - POWERBALL

(1) Effective Date. Beginning January 19, 2014, the following shall be in effect.

(2) Definitions. The following definitions apply unless the context requires a different meaning or is otherwise inconsistent with the intention of the rules adopted by the Product Group.

Agent or Retailer means a person or entity authorized by a Party Lottery to sell lottery tickets.

Computer Pick means the random selection of two digit numbers by the computer system which appear on a ticket and are played by a player in the game.

Drawing means the formal process of selecting winning numbers which determine the number of winners for each prize level of the game.

Game Board or Boards means that area of the play slip, also known as a panel, which contains two sets of numbered squares to be marked by the player, the first set containing 59 squares, number one through 59 and the second set containing 35 squares, number one through 35.

Game Ticket or Ticket means an acceptable evidence of play, which is a ticket produced by a terminal which meets the specifications defined in the rules of each Party Lottery and 961 CMR 2.63(7): Ticket Validation or is a properly and validly registered subscription play.

Licensee Lottery shall mean a state lottery or lottery of a governmental unit, political subdivision, or entity thereof that is not a Party Lottery but has agreed to comply with all applicable MUSL and Product Group requirements and has been authorized by the MUSL and by the Powerball Product Group to sell the Powerball game.

MUSL means the Multi-state Lottery Association, a government-benefit association wholly owned and operated by the Party Lotteries.

MUSL Board means the governing body of the MUSL which is comprised of the chief executive officer of each Party Lottery.

On-line Lottery Game means a lottery game wherein a player selects numbers out of a larger predetermined set or sets of numbers.

Party Lottery or Member Lottery means a state lottery or lottery of a political subdivision or entity that has joined the MUSL and, in the context of 961 CMR 2.63, that is authorized to sell the Powerball game. Unless otherwise indicated, Party Lottery or Member Lottery does not include Licensee Lotteries.

Play or Bet means the six numbers, the first five from a field of 59 numbers and the last one from a field of 35 numbers, that appear on a ticket as a single lettered selection and are to be played by a player in the game.

Product Group means a group of lotteries that has joined together to offer a product pursuant to the terms of the Multi-state Lottery Agreement and the Product Group's own rules.

Play Slip or Bet Slip means a card used in marking a player's game plays and containing one or more boards.

Selling Lottery shall mean a lottery authorized by the Product Group to sell Powerball tickets, including Party Lotteries and Licensee Lotteries.

Set Prize means all other prizes except the Grand Prize that are advertised to be paid by a single cash payment and, except in instances outlined in 961 CMR 2.63, will be equal to the prize amount established by the MUSL Board for the prize level.

Terminal means a device authorized by a Selling Lottery to function in an on line, interactive mode with the lottery's computer system for the purpose of issuing lottery tickets and entering, receiving, and processing lottery transactions, including making purchases, validating tickets, and transmitting reports.

4/11/14 (Effective 1/19/14) 961 CMR - 36.17 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. 961 CMR: STATE LOTTERY COMMISSION

2.63: continued

Ticketless Transaction shall include plays sold through subscription, internet, or non-standard terminals.

Winning Numbers means the six numbers, the first five from a field of 59 numbers and the last one from a field of 35 numbers, randomly selected at each drawing, which shall be used to determine winning plays contained on a game ticket.

(3) Game Description. (a) Powerball is a five out of 59 plus one out of 35 on-line lottery game, drawn every Wednesday and Saturday, which pays the Grand Prize, at the election of the player made in accordance with 961 CMR 2.63 or by a default election made in accordance with 961 CMR 2.63, either on an annuitized pari-mutuel basis or as a cash lump sum payment of the total cash held for this prize pool on a pari-mutuel basis. Except as provided in 961 CMR 2.63, all other prizes are paid on a set cash basis. To play Powerball, a player shall select five different numbers, from one through 59 and one additional number from one through 35, for input into a terminal. The additional number may be the same as one of the first five numbers selected by the player. Tickets can be purchased for $2.00, including any specific statutorily-mandated tax of a Selling Lottery to be included in the price of a lottery ticket, either from a terminal operated by an agent (i.e., a clerk activated terminal) or from a terminal operated by the player (i.e., a player activated terminal). If purchased from an agent, the player may select a set of five numbers and one additional number by communicating the six numbers to the agent, or by marking six numbered squares in any one game board on a play slip and submitting the play slip to the agent or by requesting "computer pick" from the agent. The agent will then issue a ticket, via the terminal, containing the selected set or sets of numbers, each of which constitutes a game play. Tickets can be purchased from a player activated terminal by use of a touch screen or by inserting a play slip into the machine. Tickets may also be purchased through a Selling Lottery ticketless transaction process as provided in 961 CMR 2.63(3)(f) and (effective 3/14/14) (12). (b) Claims. A ticket (subject to the validation requirements set forth in 961 CMR 2.63(7) Ticket Validation) shall be the only proof of a game play or plays and the submission of a winning ticket to the issuing Selling Lottery or its authorized agent shall be the sole method of claiming a prize or prizes. A play slip has no pecuniary or prize value and shall not constitute evidence of ticket purchase or of numbers selected. A terminal-produced paper receipt has no pecuniary or prize value and shall not constitute evidence of ticket purchase or of numbers selected. (c) Cancellations Prohibited. A ticket may not be voided or canceled by returning the ticket to the selling agent or to the lottery, including tickets that are printed in error. No ticket which can be used to claim a prize shall be returned to the lottery for credit. Tickets accepted by retailers as returned tickets and which cannot be re-sold shall be deemed owned by the bearer thereof. (d) Player Responsibility. It shall be the sole responsibility of the player to verify the accuracy of the game play or plays and other data printed on the ticket. The placing of plays is done at the player's own risk through the on line agent who is acting on behalf of the player in entering the play or plays. (e) Entry of Plays. Plays may only be entered manually using the lottery terminal keypad or touch screen or by means of a play slip provided by the Selling Lottery and hand-marked by the player or by such other means approved by the Selling Lottery. Retailers shall not permit the use of facsimiles of play slips, copies of play slips, or other materials that are inserted into the terminal's play slip reader that are not printed or approved by the Selling Lottery. Retailers shall not permit any device to be connected to a lottery terminal to enter plays, except as approved by the Selling Lottery. (f) Registration of Plays. Ticketless transaction plays may be registered by the Selling Lottery at a lottery processing site which meets the requirements established by the Product Group and the Security and Integrity Committee.

4/11/14 (Effective 1/19/14) 961 CMR - 36.18 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. 961 CMR: STATE LOTTERY COMMISSION

2.63: continued

(4) Prize Pool. (a) Prize Pool. The prize pool for all prize categories shall consist of 50% of each drawing period's sales, including any specific statutorily-mandated tax of a Selling Lottery to be included in the price of a lottery ticket, after the prize pool accounts and prize reserve accounts are funded to the amounts set by the Product Group. Any amount remaining in the prize pool at the end of this game shall be returned to all lotteries participating in the prize pool after the end of all claim periods of all Selling Lotteries, carried forward to a replacement game or expended in a manner as directed by the Members of the Product Group in accordance with state law. (b) Prize Pool Accounts and Prize Reserve Accounts. An amount equal to up to 5% of a Party Lottery's sales, including any specific statutorily-mandated tax of a Party Lottery to be included in the price of a lottery ticket, shall be deducted from a Party Lottery's Grand Prize Pool and placed in trust in one or more prize pool accounts and prize reserve accounts until the prize pool accounts and Party Lottery's share of the prize reserve account(s) reaches the amounts designated by the Product Group. The Product Group has established the following prize reserve accounts for the Powerball game: the Prize Reserve Account (PRA), which is used to guarantee the payment of valid, but unanticipated, Grand Prize claims that may result from a system error or other reason; and the Set Prize Reserve Account (SPRA), which is used to fund deficiencies in low-tier prize payments (subject to limitations of 961 CMR 2.63). The Product Group has established the following prize pool accounts for the Powerball game; the Grand Prize pool, which is used to fund the immediate Grand Prize, the Set-aside Account, which is used to guarantee payment of the minimum or starting Grand Prize; the Power Play pool account, which is described in 961 CMR 2.63(11); and the Low-tier Prize Pool Account, which holds the temporary balanced that may result from having fewer than expected winners in the low-tier set prize categories. The source of the Low-tier Prize Pool is the Party Lottery's weekly prize contributions less actual set prize liability. Once the prize pool accounts and the Party Lottery's share of the prize reserve accounts exceeds the designated amounts, the excess shall become part of the Grand Prize pool. The Product Group, with approval of the Finance & Audit Committee, may establish a maximum balance for the prize pool accounts and prize reserve account(s). The Product Group may determine to expend all or a portion of the funds in the prize pool accounts (except the Grand Prize pool account) and the prize reserve accounts, for the purpose of indemnifying the Party Lotteries and the Licensee Lotteries in the payment of prizes to be made by the participating lotteries, subject to the approval of the Board; and for the payment of prizes or special prizes in the game; subject to the approval of the Finance and Audit Committee. The prize reserve shares of a Party Lottery may be adjusted with refunds to the Party Lottery from the prize reserve account(s) as may be needed to maintain the approved maximum balance and shares of the Party Lotteries. Any amount remaining in the prize pool accounts or prize reserve account at the end of this game shall be returned to all lotteries participating in the accounts after the end of all claim periods of all Selling Lotteries, carried forward to a replacement prize reserve account or expended in a manner as directed by the Members of the Product Group in accordance with state law. Licensee Lotteries shall adhere to 961 CMR 2.63(4)(b) unless a different process is approved by the Product Group. (c) Expected Prize Payout Percentages. The Grand Prize shall be determined on a pari-mutuel basis. Except as provided in 961 CMR 2.63 or judicial requirements, all other prizes awarded shall be paid as set cash prizes with the following expected prize payout percentages:

Number of Matches Per Play Prize Pool Percentage Prize Payment Allocated to Prize

All five of first set plus one of second set Grand Prize 63.9511%* All five of first set and none of second set. $1,000,000 19.4038% Any four of first set plus one of second set. $10,000 1.5409% Any four of first set and none of second set. $100 0.5239% Any three of first set plus one of second set. $100 0.8167% Any three of first set and none of second set. $7 1.9437% Any two of first set plus one of second set. $7 0.9909% Any one of first set plus one of second set. $4 3.6097% None of first set plus one of second set. $4 7.2194%

4/11/14 (Effective 1/19/14) 961 CMR - 36.19 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. 961 CMR: STATE LOTTERY COMMISSION

2.63: continued

1. The prize money allocated to the Grand Prize category shall be divided equally by the number of plays winning the Grand Prize. 2. Set Prize Pool Carried Forward. For Party Lotteries, the set prize pool (for cash prizes of $1,000,000 or less) shall be carried forward to subsequent draws if all or a portion of it is not needed to pay the set prizes awarded in the current draw. 3. Pari-mutuel Prize Determinations. Except as provided for in 961 CMR 2.63(4)(c)3.c., for Party Lotteries: a. If the total of the set prizes awarded in a drawing exceeds the percentage of the prize pool allocated to the set prizes, then the amount needed to fund the set prizes, including Power Play prizes, awarded shall be drawn from the following sources, in the following order: i. the amount allocated to the set prizes and carried forward from previous draws, if any; ii. an amount from the SPRA, if available, not to exceed $40,000,000 per drawing. b. If, after these sources are depleted, there are not sufficient funds to pay the set prizes awarded, including Power Play prizes, then the highest set prize shall become a pari-mutuel prize. If the amount of the highest set prize, when paid on a pari-mutuel basis, drops to or below the next highest set prize and there are still not sufficient funds to pay the remaining set prizes awarded, then the next highest set prize shall become a pari-mutuel prize. This procedure shall continue down through all set prize levels, if necessary, until all set prize levels become pari-mutuel prize levels. c. By agreement with the Licensee Lotteries, the Licensee Lotteries shall independently calculate their set pari-mutuel prize amounts. The Party Lotteries and the Licensee Lotteries shall then agree to set the pari-mutuel prize amounts for all lotteries selling the game at the lesser of the independently-calculated prize amounts. 4. Licensee Lotteries. Licensee Lotteries shall adhere to 961 CMR 2.63(4)(c)3.a. and b. unless a different process is approved by the Product Group.

(5) Probability Of Winning. The following table sets forth the probability of winning and the probable distribution of winners in and among each prize category, based upon the total number of possible combinations in Powerball. The Set Prize Amount shall be the prizes set for all states selling the game unless prohibited or limited by state law.

Probability Distribution Probable/Set Number of Matches Per Ticket Winners Probability Prize Amount

All five of first set plus one of second set 1 1:175,223,510.0000 Grand Prize All five of first set and none of second set 34 1:5,153,632.6471 $1,000,000 Any four of first set plus one of second set 270 1:648,975.9630 $10,000 Any four of first set and none of second set 9,180 1:19,087.5283 $100 Any three of first set plus one of second set 14,310 1:12,244.8295 $100 Any three of first set and none of second set 486,540 1:360.1420 $7 Any two first set plus one of second set 248,040 1:706.4325 $7 Any one of first set plus one of second set 1,581,255 1:110.8129 $4 None of first set plus one of second set 3,162,510 1:55.4065 $4

Overall 5,502,140 1:31.8464

4/11/14 (Effective 1/19/14) 961 CMR - 36.20 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. 961 CMR: STATE LOTTERY COMMISSION

2.63: continued

(6) Prize Payment. (a) Grand Prizes. Grand prizes shall be paid, at the election of the player made no later than 60 days after the player becomes entitled to the prize, with either a per winner annuity or cash payment. If the payment election is not made at the time of purchase and is not made by the player within 60 days after the player becomes entitled to the prize, then the prize shall be paid as an annuity prize. An election for an annuity payment made by a player before ticket purchase or by system default or design may be changed to a cash payment at the election of the player until the expiration of 60 days after the player becomes entitled to the prize. The election to take the cash payment may be made at the time of the prize claim or within 60 days after the player becomes entitled to the prize. An election made after the winner becomes entitled to the prize is final and cannot be revoked, withdrawn or otherwise changed. Shares of the Grand Prize shall be determined by dividing the cash available in the Grand Prize pool equally among all winning plays of the Grand Prize. Winner(s) who elect a cash payment shall be paid their share(s) in a single cash payment. The annuitized option prize shall be determined by multiplying a winner's share of the Grand Prize pool by the MUSL annuity factor. The MUSL annuity factor is determined by the best total securities price obtained through a competitive bid of qualified, pre-approved brokers made after it is determined that the prize is to be paid as an annuity prize or after the expiration of 60 days after the winner becomes entitled to the prize. Neither MUSL nor the Selling Lotteries shall be responsible or liable for changes in the advertised or estimated annuity prize amount and the actual amount purchased after the prize payment method is actually known to MUSL. In certain instances announced by the Product Group, the Grand Prize shall be a guaranteed amount and shall be determined pursuant to 961 CMR 2.63(6)(e). If individual shares of the cash held to fund an annuity is less than $250,000, the Product Group, in its sole discretion, may elect to pay the winners their share of the cash held in the Grand Prize pool. All annuitized prizes shall be paid annually in 30 payments with the initial payment being made in cash, to be followed by 29 payments funded by the annuity. Except as may be controlled by a Selling Lottery's governing statute, all annuitized prizes shall be paid annually in 30 graduated payments (increasing each year) by a rate as determined by the Product Group. Prize payments may be rounded down to the nearest one thousand dollars ($1,000). Annual payments after the initial payment shall be made by the lottery on the anniversary date or if such date falls on a non-business day, then the first business day following the anniversary date of the selection of the jackpot winning numbers. Funds for the initial payment of an annuitized prize or the lump sum cash prize shall be made available by MUSL for payment by the Selling Lottery no earlier than the 15th calendar day (or the next banking day if the 15th day is a holiday) following the drawing. If necessary, when the due date for the payment of a prize occurs before the receipt of funds in the prize pool trust sufficient to pay the prize, the transfer of funds for the payment of the full lump sum cash amount may be delayed pending receipt of funds from the Selling Lotteries. A paying lottery may elect to make the initial payment from its own funds after validation, with notice to MUSL. If a Party Lottery purchases or holds the prize payment annuity for a prize won in that jurisdiction, that Party Lottery's game rules, and any prize agreement with the prize winner, shall indicate that the prize winner has no recourse on the MUSL or any other Party Lottery for payment of that prize. In the event of the death of a lottery winner during the annuity payment period, unless prohibited by jurisdictional law, the MUSL Finance & Audit Committee, in its sole discretion excepting a discretionary review by the Product Group, upon the petition of the estate of the lottery winner (the "Estate") to the lottery of the jurisdiction in which the deceased lottery winner purchased the winning ticket, and subject to federal, state, district, or territorial applicable laws, may accelerate the payment of all of the remaining lottery proceeds to the Estate. If such a determination is made, then securities and/or cash held to fund the deceased lottery winner's annuitized prize may be distributed to the Estate. The identification of the securities to fund the annuitized prize shall be at the sole discretion of the Finance & Audit Committee or the Product Group. (b) Low-tier Cash Prize Payments. All low-tier cash prizes (all prizes except the Grand Prize) shall be paid in cash or warrants through the Selling Lottery which sold the winning ticket(s). A Selling Lottery may begin paying low-tier cash prizes after receiving authorization to pay from the MUSL central office. If a Selling Lottery, due to jurisdictional law requirements, separately determines its low-tier cash prize amounts, it shall be sole responsible for its low-tier cash prize liability, and may begin paying low-tier cash prizes after a drawing when it determines appropriate to do so.

4/11/14 (Effective 1/19/14) 961 CMR - 36.21 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. 961 CMR: STATE LOTTERY COMMISSION

2.63: continued

(c) Prizes Rounded. Annuitized payments of the Grand Prize or a share of the Grand Prize may be rounded to facilitate the purchase of an appropriate funding mechanism. Breakage on an annuitized Grand Prize win shall be added to the first cash payment to the winner or winners. Prizes other than the Grand Prize, which, under 961 CMR 2.63, may become single-payment, pari-mutuel prizes, may be rounded down so that prizes can be paid in multiples of whole dollars. Except with regards to low-tier cash prizes paid by a Selling Lottery which separately determines its low-tier cash amounts pursuant to 961 CMR 2.63(6)(b), breakage resulting from rounding these prizes shall be carried forward to the prize pool for the next drawing. (d) Rollover. If the Grand Prize is not won in a drawing, the prize money allocated for the Grand Prize shall roll over and be added to the Grand Prize pool for the following drawing. (e) Funding of Guaranteed Prizes. The Product Group may offer guaranteed minimum Grand Prize amounts or minimum increases in the Grand Prize amount between drawings or make other changes in the allocation of prize money where the Product Group finds that it would be in the best interest of the game. If a minimum Grand Prize amount or a minimum increase in the Grand Prize amount between drawings is offered by the Product Group, then the Grand Prize shares shall be determined as follows. If there are multiple Grand Prize winners during a single drawing, each selecting the annuitized option prize, then a winner's share of the guaranteed annuitized Grand Prize shall be determined by dividing the guaranteed annuitized Grand Prize by the number of winning plays. If there are multiple Grand Prize winners during a single drawing and at least one of the Grand Prize winners has elected the annuitized option prize, then the best bid submitted by MUSL's pre-approved qualified brokers shall determine the cash pool needed to fund the guaranteed annuitized Grand Prize. If no winner of the Grand Prize during a single drawing has elected the annuitized option prize, then the amount of cash in the Grand Prize pool shall be an amount equal to the guaranteed annuitized amount divided by the average annuity factor of the most recent three best quotes provided by MUSL's pre-approved qualified brokers submitting quotes. In no case, shall quotes be used that are more than two weeks old and if less than three quotes are submitted, then MUSL shall use the average of all quotes submitted. Changes in the allocation of prize money shall be designed to retain approximately the same prize allocation percentages, over a year's time, set out in 961 CMR 2.63. Minimum guaranteed prizes or increases may be waived if the alternate funding mechanism set out in 961 CMR 2.63(4)(c)2. becomes necessary. (f) Limited to Highest Prize Won. The holder of a winning ticket may win only one prize per board in connection with the winning numbers drawn, and shall be entitled only to the prize won by those numbers in the highest matching prize category. (g) Prize Claim Period. Prize claims shall be submitted within the period set by the Selling Lottery selling the ticket. If no such claim period is established, all grand prize claims shall be made within 180 days after the drawing date. In Massachusetts, all tickets must be claimed within one year of the drawing date.

(7) Ticket Validation. To be a valid ticket and eligible to receive a prize, a ticket shall satisfy all the requirements established by a Selling Lottery for validation of winning tickets sold through its on line system and any other validation requirements adopted by the Product Group, the MUSL Board and published as the Confidential MUSL Minimum Game Security Standards. The MUSL and the Selling Lotteries shall not be responsible for tickets which are altered in any manner.

(8) Ticket Responsibility. (a) Prize Claims. Prize claim procedures shall be governed by the rules of the selling lottery. The MUSL and the Selling Lotteries shall not be responsible for prizes that are not claimed following the proper procedures as determined by the selling lottery. (b) (Multiple Signatures: Reserved). (c) Stolen Tickets. The Product Group, the MUSL and the Party Lotteries shall not be responsible for lost or stolen tickets. (d) Ticketless Transactions. A receipt for a ticketless transaction has no value and is not evidence of a play. A ticketless transaction play is valid when registered with the lottery in accordance with lottery rules and the person or, if permitted by the lottery rules, the persons registering the play shall be the owner of the ticketless transaction play.

4/11/14 (Effective 1/19/14) 961 CMR - 36.22 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. 961 CMR: STATE LOTTERY COMMISSION

2.63: continued

(9) Ineligible Players. (a) A ticket or share for a MUSL game issued by the MUSL or any of its Party Lotteries shall not be purchased by, and a prize won by any such ticket or share shall not be paid to: 1. a MUSL employee, officer, or director, 2. a contractor or consultant under agreement with the MUSL to review the MUSL audit and security procedures, 3. an employee of an independent accounting firm under contract with MUSL to observe drawings or site operations and actually assigned to the MUSL account and all partners, shareholders, or owners in the local office of the firm, or 4. an immediate family member (parent, stepparent, child, stepchild, spouse, or sibling) of an individual described in 961 CMR 2.63(9)(a)1. through 3. and residing in the same household. (b) Those persons designated by a Selling Lottery's law as ineligible to play its games shall also be ineligible to play the MUSL game in that Selling Lottery's jurisdiction.

(10) Applicable Law. In purchasing a ticket, the purchaser agrees to comply with and abide by all applicable laws, rules, regulations, procedures, and decisions of the Selling Lottery where the ticket was purchased.

(11) Special Game Rules: Powerball Power Play Promotion. Power Play Promotion rules are applicable to all Selling Lotteries, except as ma be controlled by a Selling Lottery's governing judicial statute. The Product Group shall reach an agreement with such lotteries that will permit the operation of the promotion in a manner consistent with statute. (a) Description. The Powerball Power Play promotion is a limited extension of the Powerball game and is conducted in accordance with the Powerball game rules and other lottery rules applicable to the Powerball game except as may be amended in 961 CMR 2.63(11). Powerball Power Play will begin at a time announced by the Selling Lottery and will continue until discontinued by the lottery. The Powerball Power Play will offer to the owners of a qualifying play a chance to increase the amount of any of the eight lump sum Set Prizes (the lump sum prizes normally paying $4 to $1,000,000) won in a drawing held during the promotion. The Grand Prize jackpot is not a Set Prize and will not be increased. (b) Qualifying Play. A qualifying play is any single Powerball play for which the player pays an extra dollar for the Power Play option play and which is recorded at the Selling Lottery's central computer as a qualifying play. (c) Prizes to Be Increased. Except as provided in 961 CMR 2.63, a qualifying play which wins one of the seven lowest lump sum Set Prizes (excluding the Match 5 + 0 prize) will be multiplied by the number selected, either to, three, four , or five (2, 3, 4, or 5), in a separate random Power Play drawing announced during the official Powerball drawing show. The announced Match 5 + 0 prize, for players selecting the Power Play option, shall be paid $2,000,000 unless a higher limited promotional dollar amount is announced by the Group. (d) Power Play Draws. MUSL will conduct a separate random "Power Play" drawing and announce results during each of the regular Powerball drawings held during the promotion. During each Powerball drawing a single number (2, 3, 4, or 5) shall be drawn. The Powerball Group may modify the multiplier features for special promotions from time to time. (e) Prize Pool. 1. Power Play Prize Pool. The prize pool for all prize categories shall consist of up to 49.36% of each drawing period's sales, including any specific statutorily-mandated tax of a Selling Lottery to be included in the price of a lottery ticket. The Power Play Prize Pool shall be carried forward to subsequent draws if all or a portion of it is not needed to pay the power plat prizes awarded in the current draw and held in the Power Play Pool Account. 2. Power Play Pool Account. An additional 0.64% of sales, including any specific statutorily mandated tax of a Selling Lottery to be included in the price of a lottery ticket, may be collected and placed in the Power Play pool account, for the purpose of paying Power Play prizes. Any amount remaining in the Power Play pool account at the end of the game shall be returned to all lotteries participating in the account after the end of all claim periods of all Selling Lotteries, carried forward to a replacement game, or expended in a manner as directed by the Members of the Product Group in accordance with jurisdiction statute.

4/11/14 (Effective 1/19/14) 961 CMR - 36.23 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. 961 CMR: STATE LOTTERY COMMISSION

2.63: continued

3. Licensee Lotteries. Licensee Lotteries shall adhere to 961 CMR 2.63(11)(e)2. unless a different process is approved by the Product Group. 4. Expected Prize Payout.

Prize Amount Regardless of Power Play number selected: Match 5 + 0 $1,000,000 $2,000,000 $2,000,000 $2,000,000 $2,000,000

Prize Amount 5X 4X 3X 2X

Match 4 + 1 $10,000 $50,000 $40,000 $30,000 $20,000 Match 4 + 0 $100 $500 $400 $300 $200 Match 3 + 1 $100 $500 $400 $300 $200 Match 3 + 0 $7 $35 $28 $21 $14 Match 2 + 1 $7 $35 $28 $21 $14 Match 1 + 1 $4 $20 $16 $12 $8 Match 0 + 1 $4 $20 $16 $12 $8

In certain rare instances, the Powerball set prize amount may be less than the amount shown. In such case, the eight lowest Power Play prizes will be changed to an amount announced after the draw. For example, if the Match 4 + 1 Powerball set prize amount of $10,000 becomes $5,000 under the rules of Powerball and a 5X Power Play multiplier is selected, then a Power Play player winning that prize amount would win $25,000. (f) Probability of Winning. The following sets forth the probability of the various Power Play numbers being drawn during a single Powerball drawing, except that the Power Play amount for the Match 5 + 0 prize will be $2,000,000. The Group may elect to run limited promotions that may modify the multiplier features.

Power Play Probability of Prize Increase 5X - Prize won times 5 1 in 10 4X - Prize won times 4 1 in 10 3X - Prize won times 3 1 in 3.33 2X - Prize won times 2 1 in 2

Power Play does not apply to the Powerball Grand Prize. Except as provided in 961 CMR 2.63(11)(e)4., a Power Play Match 5 prize is set at $2,000,000 regardless of the multiplier selected. (g) Limitations on Payment of Power Play Prizes. 1. Prize Pool Carried Forward. For Party Lotteries, the prize pool percentage allocated to the Power Play set prizes shall be carried forward to subsequent draws if all or a portion of it is not needed to pay the set prizes awarded in the current draw. 2. Pari-Mutuel Prizes - All Prize Amounts. Except as provided for in 961 CMR 2.63(11)(g)2.c., for Party Lotteries: If the total of the original Powerball set prizes and the Power Play prizes awarded in a drawing exceeds the percentage of the prize pools allocated to the set prizes, then the amount needed to fund the set prizes (including the Power Play prize amounts) awarded shall be drawn from the following sources, in the following order: a. the amount allocated to the set prizes and carried forward from previous draws, if any; b. an amount from the Powerball Set-prize Reserve Account, if available in the account, not to exceed $40,000,000 per drawing. If, after these sources are depleted, there are not sufficient funds to pay the set prizes awarded (including Power Play prize amounts), then the highest set prize (including the Power Play prize amounts) shall become a pari-mutuel prize. If the amount of the highest set prize, when paid on a pari-mutuel basis, drops to or below the next highest set prize and there are still not sufficient funds to pay the remaining set prizes awarded, then the next highest set prize, including Power Play prize amount, shall become a pari-mutuel prize. This procedure shall continue down through all set prizes levels, if necessary, until all set prize levels become pari-mutuel prize levels. In that instance, the money available from the funding sources listed in 961 CMR 2.63 shall be divided among the winning plays in proportion to their respective prize percentages. Powerball and Power Play prizes will be reduced by the same percentage.

4/11/14 (Effective 1/19/14) 961 CMR - 36.24 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. 961 CMR: STATE LOTTERY COMMISSION

2.63: continued

Licensee Lotteries shall adhere to this rule unless a different process is approved by the Product Group. By agreement with the Licensee Lotteries, shall independently calculate their set pari-mutuel prize amounts, including the Power Play prize amounts. The Party Lotteries and Licensee Lotteries shall then agree to set the pari-mutuel prize amounts for all lotteries selling the game at the lesser of the independently-calculated prize amounts. (h) Prize Payments. 1. Prize Payments. All Power Play prizes shall be paid in one lump sum through the Selling Lottery that sold the winning ticket(s). A Selling Lottery may begin paying Power Play prizes after receiving authorization to pay from the MUSL central office. 2. Prizes Rounded. Prizes, which, under 961 CMR 2.63, may become pari-mutuel prizes, may be rounded down so that prizes can be paid in multiples of whole dollars. Breakage resulting from rounding these prizes shall be carried forward to the prize pool for the next drawing.

4/11/14 (Effective 1/19/14) 961 CMR - 36.24.1 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. 961 CMR: STATE LOTTERY COMMISSION

2.63: continued

(12) Season Tickets. (a) Powerball Season Tickets may be sold by the Massachusetts State Lottery Commission and by licensed Sales Agents operating terminals or by Season Ticket application. (b) Season Tickets will be sold in the following manner: 1. Plan "A" - 52 consecutive drawings sold for the price of $100.00. 2. Plan "B" - 104 consecutive drawings sold for the price of $200.00. 3. Plan "C" - 26 consecutive drawings sold for the price of $50.00. (c) The Director reserves the right to adjust both price and number of drawings as defined in 961 CMR 2.63(12)(b). (d) Season Tickets become effective and eligible to win a prize starting with the effective date printed on the ticket. Season Tickets are not effective on the date of purchase. Powerball Season Tickets may be canceled only if the original Season Ticket and registration form is received in the office of the Season Ticket Department prior to the effective date of the Season Ticket. (e) Based upon the Plan selected as defined in 961 CMR 2.63(12)(b), Season Tickets, unless renewed, automatically expire at the end of 52, 104 or 26 drawings. Prior to expiration, renewal applications will be sent to registered Season Ticket holders with a Massachusetts address. Renewal applications received after the time period specified upon the renewal form may be assigned a new effective date. If, upon renewal, the customer requests a change in any or all of the five numbers in the first set or the one number in the second set, his or her renewal application shall be treated as a new ticket rather than a renewal. Said new ticket will be effective upon completion of processing by the Season Ticket Department. (f) Purchasers of Season Tickets shall select five numbers in the first set and one number in the second set that he or she wishes to appear on the Season Ticket. Said Purchasers are cautioned to examine his or her ticket upon purchase and prior to its effective date to assure the numbers printed represent the numbers desired. The Lottery will only be liable for the payment of a prize based upon the numbers as they appear on the Season Ticket and registered on the Lottery's Computer. In the event of a conflict, the numbers as registered on the Lottery Computer shall control. (g) Purchasers of Season Tickets may elect to use the "Quic Pic" feature for the selection of his/her numbers. The five numbers in the first set and one number in the second set will be randomly selected by the Lottery Computer and printed on the Season Ticket. The Lottery will only be liable for the payment of a prize based upon the numbers as they appear on the Season Ticket and registered on the Lottery's Computer. In the event of a conflict, the numbers as registered on the Lottery Computer shall control. (h) The Powerball Power Play option is not available on Season Tickets. (i) In the event the Lottery receives a Season Ticket application or renewal application with less than five numbers in the first set and/or one number in the second set as selected by the applicant, the Lottery may randomly select all or any of those omitted numbers to assure each application contains five numbers in the first set and one number in the second set. (j) In the event the Lottery receives a Season Ticket application or renewal application with more than five numbers in the first set and/or one number in the second set as selected by the applicant, the Lottery may randomly delete one or more of the numbers selected in order to obtain a valid ticket with five numbers in the first set and one number in the second set. (k) The owner of a Season Ticket purchased through a Sales Agent must register his or her name with the Lottery on a form provided with the purchase of the ticket or on-line through the Lottery's website if prizes are to be paid automatically and renewal information to be sent. (l) When more than one name appears on the application or registration form, the Lottery may select the first name listed and designate him or her as agent for collection. In the event the ticket wins a prize, it will be the responsibility of the recorded agent to make known to the Lottery, Internal Revenue Service, and the Department of Revenue, the name, social security number and proportionate share of each of the winners. (m) A Powerball Season Ticket purchased through an application is not effective until it is registered on the Lottery's Computer and a Season Ticket issued to the applicant regardless of whether or not payment for such ticket has been accepted by the Commission prior to such registration or otherwise.

3/14/14 961 CMR - 36.24.2 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. 961 CMR: STATE LOTTERY COMMISSION

2.63: continued

(n) The Director may change the set of numbers from which winning numbers will be selected to a number greater or less than the set of numbers available at the time the Season Ticket is purchased. In the event a set of numbers is enlarged, a Season Ticket holder may request in writing at least four weeks before the effective date of such change that his or her number selection be changed; provided, however, this option shall be limited to changing one or more numbers from a set of numbers in existence at the time the ticket was purchased to one or more of the numbers added to that set of numbers. In the event a set of numbers is decreased and one or more of the numbers selected at the time the tickets was purchased is eliminated from the set of available numbers, the holder may request, in writing, that the numbers so eliminated be replaced by one or more numbers from the set of numbers remaining after said decrease. In the event the holder fails to exercise this option at least four weeks prior to the effective date of such change, the Lottery may randomly select new numbers on the holders behalf in accordance with the limitations contained in 961 CMR 2.63(12)(n). (o) In the event the Commission cancels the operation of Powerball, the amount paid for drawings so canceled shall be refunded to the registered holder and said refund shall constitute the Commission's sole obligation to the holders of Powerball Season Tickets in the event of said cancellation. All other provisions of 961 CMR 2.00 shall, if applicable, apply to the Multi-state Game -- Powerball.

3/14/14 961 CMR - 36.24.3 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. 961 CMR: STATE LOTTERY COMMISSION

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3/14/14 961 CMR - 36.24.4 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. 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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The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm.