The Massachusetts Register

Issue: 1129, Date: 5/1/2009

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

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

TABLE OF CONTENTS

Page - THE GENERAL COURT Acts and Resolves 1

- HEALTH CARE QUALITY AND COST COUNCIL Administrative Bulletin 2.00: Uniform Reporting System for Health Care Claims 2 Data Sets - DIVISION OF HEALTH CARE FINANCE AND POLICY Informational Bulletin 09-07: 114.3 CMR 22.00 Durable Medical Equipment, Oxygen 3 and Respiratory Therapy Equipment - ADMINISTRATIVE PROCEDURES Notice of Public Review of Prospective Regulations 9

Cumulative Table 19

Emergency Expiration 28

Emergency Regulations 33

Permanent Regulations 49

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

Emergency Expiration

225 CMR Energy Resources, Department of

17.00 ADVANCED BIOFUELS QUALIFICATION AND MINIMUM CONTENT 28 REQUIREMENTS Establishes a process for the DOER to qualify cellulosic biofuels as an “eligible cellulosic biofuel” for purposes of exempting such fuels from the motor fuels tax as required by Section 1 of Chapter 206 of the Acts of 2008.

310 CMR Environmental Protection, Department of

10.00 Wetlands Protection Act 29 The purpose of the proposed emergency regulations is to expand the Agricultural Emergencies section to allow for immediate work under the Wetlands Protection Act for the eradication of Asian longhorned beetles in response to an order or regulation issued by the United States Department of Agriculture (USDA) or the Massachusetts Department of Conservation and Recreation (DCR). The regulations contain conditions for undertaking work in wetland resource areas (e.g. requirements for mapping, site meetings, staging locations, access roads, stream crossings, and erosion controls). The geographic scope of the proposed change is limited to five communities in Worcester County that are the subject of an order or regulation issued by USDA or DCR.

314 CMR Water Pollution Control, Division of

9.00 Massachusetts Clean Water Act 31 The purpose of the proposed emergency regulations is to allow for the authorization of emergency actions to allow for immediate work under the Massachusetts Clean Water Act for the eradication of Asian longhorned beetles in response to an order or regulation issued by the United States Department of Agriculture (USDA) or the Massachusetts Department of Conservation and Recreation (DCR). The regulation allows activity subject to the jurisdiction of 310 CMR 10.00 which has been certified as an emergency by a conservation commission, by the Department, or is authorized under 310 CMR 10.06(6)(a)4.

Emergency Regulations

130 CMR Medical Assistance, Division of

501.000 Health Care Reform: MassHealth: General Policies 33 Revises he definition of “spouse” to meet the requirements of state law.

506.000 Health Care Reform: MassHealth: Financial Requirements 35 Revises the date of the annual change about the federal-poverty level from a specific month to “annually.” The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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

515.000 MassHealth: General Policies 37 Revises he definition of “spouse” to meet the requirements of state law

519.000 MassHealth: Coverage Types 39 Makes the cost-of-living adjustments for 2008.

520.000 MassHealth: Financial Eligibility 41 Makes the cost-of-living adjustments for 2008. Additionally, revises the federal-poverty level date of the annual change from a specific month to “annually.”

330 CMR Food & Agriculture, Department of

29.00 Dairy Farmer Tax Credit 43 330 CMR 29.00 implements M.G.L. c. 62, §§ 6(o)(1) through (4), and M.G.L. c. 63, § 38Z, which provides for a tax credit to dairy farmers. The purpose of 330 CMR 29.00 is to provide revenue stability to dairy farmers when milk prices paid to farmers fall dramatically.

520 CMR Public Safety, Department of

14.00 Excavation and Trench Safety 45 Establishes reasonable standards to protect the safety of the citizens of the Commonwealth from hazards inherent in excavations and trenches and to provide for penalties for individuals who violate any provisions of the regulation.

524 CMR Elevator Regulations, Board of

32.00 Vertical Reciprocating Conveyors 47 These new regulations govern Vertical Reciprocating Conveyors (VRC). As of April 13, 2009, the definition of "elevator" in M.G.L. c.143, § 71E now includes VRCs. These devices were not previously included in the definition and accordingly, not addressed in the elevator regulations (524 CMR). The regulations cover the scope of devices regulated and provide safety standards for the installation, maintenance, repair, and inspection of VRCs.

Permanent Regulations

101 CMR Health and Human Services, Executive Office for

15.00 Criminal Offender Records Checks 49 Revisions establish a core standardized policy and procedure for EOHHS and its agencies, as well as specified vendor programs, to follow when reviewing Criminal Offender Records Information (CORI) of current and prospective employees.

105 CMR Public Health, Department of

200.000 Physical Examination of School Children 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. Page

Establishes revised requirements for vision and hearing screenings in schools. Schools will be required to calculate student BMIs in grades 1, 4, 7 and 10 and communicate the findings directly and confidentially to parents. Establishes requirements for school related physical examinations by primary care providers and school physicians, and for vision, hearing and BMI screenings in schools.

114.3 114.3 CMR Health Care Finance and Policy, Division of CMR 4.00 Rates for Community Health Centers 53

205 CMR Racing Commission, State

3.00 Harness Horse Racing 55 Changes amount state judges can fine participants and revises Anabolic Steroid language.

4.00 Rules of Horse Racing 57 Changes the amount Stewards can fine; provides for open claiming; changes Anabolic Steroid language; and provides specifications for riding crops.

310 CMR Environmental Protection, Department of

30.00 Hazardous Waste Regulations 59 Clarifies and affirms the regulatory and permitting requirements for waste oil, used oil fuel and other regulated recyclable materials. Other revisions pertain to regulated, recyclable material and clarify that shipments sent off the site of generation by a generator must go directly to the appropriate, authorized facility. Another revision incorporates a federal hazardous waste exclusion which conditionally exempts eligible medical nitroglycerine.

314 CMR Water Pollution Control, Division of

19.00 Oil Spill Prevention and Response Act 61 This regulation specifies provisions for: the dispatch of state pilots upon request to provide navigational assistance to tank vessels operating in and transiting Buzzards Bay; and notification by vessels 24 hours prior to transit. This regulation was originally filed for emergency adoption effective February 12, 2009. The final regulation removes provisions related to rescue tugs.

322 CMR Marine Fisheries, Division of

12.00 Protected Species 63 Complements federal regulations that are part of the Harbor Porpoise & Atlantic Large Whale Take Reduction Plans, as well as relocating surface gillnet permit requirements into proper permitting chapter 7.00.

4.00 Fishing & Shellfish Equipment 65

6.00 Regulation of Catches 67 Clarifies that vessels using or possessing surface gillnets shall not be precluded from possessing striped bass under a longstanding regulation that prohibits striped bass possession for vessels “rigged for netting"; rescinds prohibition on disposing of striped bass racks at-sea by for-hire fishing operations; requires Outer Cape lobstermen to affix annual trap tags to traps prior to March 16th.

7.00 Permits 69 Establishes control date for spiny dogfish fishery; creates new permits for surface gillnetting and purse seining; and clarifies that individuals may apply for Coastal Access Permits (CAPs) exclusively for purse seining in exemption of moratorium on general CAPs and that CAPs exclusively for purse seining may be exempt from maximum vessel length limit of 72'.

8.00 Coastal Fisheries Conservation & Management 71 Clarifies that Coastal Access Permits exclusively for purse seining may be exempt from maximum vessel length limit of 72"; and amends permitting for sink and surface gillnets.

711 CMR Outdoor Advertising Board

3.00 Control and Restrictions of Billboards, Signs and other Advertising Devices 73 Regulates and controls the erection and maintenance of off-premise billboards, signs and other advertising devices in the Commonwealth.

807 CMR Teachers' Retirement Board

10.00 Maternity Service Purchases 75 Establishes the procedures by which members of the Teachers' Retirement System ("TRS") can purchase as creditable service a prior maternity leave, as authorized by M.G.L. c. 32, § 4(1)(g½). Also provides guidance as to the TRS's interpretation of the statute. Amendment reflects legislative changes to the application of interest on certain buybacks and repayments contained in M.G.L. c. 32, §§ 4 and 105.

961 CMR State Lottery Commission

2.00 Massachusetts State Lottery Commission 77 Amends the operation of the on-line Megabucks and Mass Cash games.

1 H 98 Expanding the Governor's Authority to Address Deficiencies in 1/22/2009 Revenue.

2 S 14 To Provide the Voters of the Town of Randolph a Choice of 3/9/2009 Charters for a New Form of Government.

3 H 99 Authorizing the Town of Framingham to Erect a Maintenance 3/11/2009 Facility.

4 S 11 Reorganizing Certain Agencies of the Executive Department. The foregoing was filed by the Governor with the General Court on March 5, 2009. Not having been disapproved in either the Senate or the House of Representatives and the General Court not having been prorogued, after 60 days it has the force of law as provided in Article LXXXVII of the Amendments to the Constitution. 5 H 3415 Making Appropriations for the Fiscal Year 2009 to Provide for 3/19/2009 Supplementing Certain Existing Appropriations and for Certain Other Activities and Projects.

6 S 3472 Relative to the Town Clerk of the Town of Weston. 4/3/2009

7 H 3795 Authorizing the City of Beverly to Grant 2 Additional Licenses for 4/14/2009 the Sale of Certain Alcoholic Beverages to be Drunk on the Premises.

8 H 4049 Relative to the Charter in the Town of Auburn. 4/14/2009

9 S 2022 Relative to an Appeal Process of Insurance Premium 4/15/2009 Surcharges Under Managed Competition.

10 H 100 Extending the Commonwealth's Authority to Guarantee 4/24/2009 Obligations of the Massachusetts Turnpike Authority.

129 CMR 2.00: Uniform Reporting System for Health ~are Claims Data Sets

April 15, 2009

This Administrative Bulletin clarifies health insurance carriers' obligations to submit race and ethnicity data to the Health Care Quality and Cost Council (Council). Regulation 129 CMR 2.00: Uniform Reporting System for Health Care Claim Data Sets governs the submission of health care claims data to the Councilor its designee. The regulation describes the type of data to be submitted, as well as the format, data submission schedule, and penalties for noncompliance. In accordance with 129 CMR 2.08, the Council has also issued a Statistical Plan that contains the specifications for the uniform reporting system of health care claims data sets.

The Council's regulation and Statistical Plan require carriers to submit data on patient race and ethnicity. 129 CMR 2.08(e) provides that "the Statistical Plan shall include steps that carriers must take by July 1, 2008 to begin collecting patient race and ethnicity data." In 2008, the Council voted to delay this requirement until July 1,2009, and convened an Expert Panel to make recommendations about collecting this data.

This is to notify carriers and payers that based on the recommendations of the Expert Panel, the Council will delay the requirement to submit race and ethnicity data until July 1, 2010. The Council will also apply the following standards to determine compliance with this reporting requirement:

• For claims data submitted between July 1,2010 and June 30, 2011, each carrier must report the required race and ethnicity data for at least 2% of its submitted claims; ~ '~:o---;.r .' "I-:....•. <= (' -<, • For claims data submitted between July 1,2011 and June 30, 2012, each carrier ~ must report the required race and ethnicity data for at least 3% of its submitted ;g claims; and • Effective July 1, 2012, each carrier must report the required race and ethnicity -.J data for at least 5% of its submitted claims.

The Council will continue to work with carriers to develop an effective process for reporting this important data.

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

Informational Bulletin 09-07

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

April 16, 2009 (Effective Date May 1, 2009)

HCPCS Updates and Corrections

Under authority of Regulation 114.3 CMR 22.01, the Division of Health Care Finance and Policy has implemented a number of changes in codes and rates for durable medical equipment, oxygen and respiratory therapy equipment services. As outlined in 22.01(5), Coding Updates and Corrections, the Division may publish such changes in the form of an Informational Bulletin that lists: (a) codes for which the code numbers changed, with the corresponding crosswalks; (b) codes for which the descriptions changed; (c) deleted codes for which there are no crosswalks; and (d) for new codes that require new pricing, the Division may list these codes and price them at a percentage of prevailing Medicare fees as described in 114.3 CMR 22.03(15), when Medicare fees are available. When Medicare fees are not available, the Division may apply individual consideration in reimbursing for these new codes until appropriate rates are developed. The changes are effective May 1,2009.

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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. NewSegmentalFunctionalManualCodeManualAAC+30%AAC+20%AAC+35%ManualFunctionalOxygenSegmentalSpirometer,AAC+30%Newwheelchairpneumaticwheelchairelectrical121.01161.36Rate16.14wheelchairaccessory,I.C.I.c.pneumaticelectricalDMEPOSReplacementBidelectronic,non-electronic,stimulator,accessory,applianceaccessory,underbatterywheeleddcaccessory,stimulator,appliancepowerrounditemincludesforsolidtranscutaneousofsolidchargerpack/cartridgedeliveredincludesusecartaoneadapterpartDMEseatformanualDescriptionseatwithforalltranscutaneousforofpediatricofDMEsupportforaccessoriesusethesupportportableitemallpneumaticforviaportablestandingDMEPOSwithaccessoriesstimulationportablemailforbasefurnishedsizebasepneumaticcylinderportableconcentrator,system(replacesstimulationwheelchair,compressor,(replacesconcentrator,competitiveofasorconcentrator,nervecompressor,partportableslingslingofdynamicoftrunkchestanynervebiddingseat),anyaseat),repairtype,type,anychesttrunkprogram for KE E0656NUE0657NUEOnONUE223E0656UEE0657RRE0656RREOnORREOnOUEE0657UEE0487E2295A9284E1356EI358E2230E1354E1357RAKLRB1IRRNUUE (rental)(used(newfeaturesand/orconcentrator,replacementuseincludesseatingtype,withequipment)replacementdurablemuscleframe,anynon-competitiveonly,typeanymedicalgroups,allowstype,mountingonly,eachcoordinatedequipment)anyreplacementeachbidtype,hardwarebasecompletemovementequipmentonly,(rental)(used(neweachsystem,equipment)durableof multiplenotmedicalotherwisepositioningequipment)specified

The descriptors of the following codes have been revised:

CodeCollagenFoamContactAlginateGauze,CompositeFoamCompositeCollagenAlginateCollagendressing,AAC+20%FoamContactAlginatedressing,non-impregnated,layer,Rateorbaseddressingordressing,based152.24dressing,otherdressing,23.5024.77dressing,16.8215.9414.6413.15otherdressing,9.254.984.234.950.768.237.765.985.872.685.881.82sterile,layer,laver,woundorwoundwoundfiberwoundfiberothersterile,sterile,sterile,moresterile,woundgellingcover,filler,gellingcover,cover,fiberfiller,sterile,filler,padthanpadpadmore16drypadgellingsterile,filler,dressing,dryRevisedsterile,sterile,dressing,sizesq.sterile,size16sizeform,padsizethanform,in.sq.moresterile,16morepad16dressing,sizemoremorepadorin.sterile,persq.48Descriptionwoundsq.sterile,woundless,sizethan16butsq.sizethansizein.6thanperin.thansq.inchesmoreOrin.,less16eachperorwoundmore16gramcover,16per48in.cover,48less,sq.less,eachsq.thangramsq.sq.thandressingorthansq.gramin.thanthanin.eachsterile,in.cover,less,within.,dressingorin.,sterile,orof48but16butof48equal16less,eachcollagenwithwithanysq.collagenlesssq.sq.sterile,lesspadpadin.,in.withwithoutsizetoanyanyin.in.,thanthansizebut48sizewithbutsizepadanysizeorsq.lessor16lesssize A6010 A6215A6208A6206A6210A6207A6205A6199A6198A6197A6021A6219A6214A6213A6212A6209A6211A6204A6203A6196A6022A6023A6024A6011 adhesiveanythansizewithoutequalin.,moresq. in.eachsizeadhesiveorthantoorequaladhesive48adhesivedressingborder,less,4816Sq.sq.toborder,sq.Sq.eachin.,48eachin.,in.border,border,witheachsq.dressingbuteacheachdressingin.,anylesseacheachdressingwithwithoutdressingsizethandressingdressinganyadhesiveoradhesivesizeequaladhesiveborder,to border,48 sq.border,eachin.,eachdressingeachdressingeachdressingdressing

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. CodeGauze,HydrocolloidHydrogelGauze,HydrocolloidGauze,HydrogelHydrocolloidAAC+20%Gauze,impregnatedimpregnated,non-impregnated,impregnatedimpregnated,Ratedressing,dressing,31.4220.5321.8018.2313.4615.359.852.064.862.895.829.796.335.235.503.73dressing,1.941.70non-impregnated,impregnated,dressing,woundwithwithwoundhydrogel,waterhydrogel,woundwoundwoundotherothersterile,cover,orcover,waternormalcover,Revisedfiller,thanforthancover,cover,forsterile,padsterile,ordirectsterile,directwater,water,drypaste,normalsizesterile,saline,sterile,sterile,Descriptionpadform,padwoundmorewoundpadnormalnormalsterile,sizesaline,padsterile,sizepadpadsizesterile,thancontact,moresizecontact,more16sizesizesaline,persaline,moresterile,pad16sq.16perouncethanmoremorethansq.in.sizesq.thansterile,sterile,ororgramsterile,padin.48orthanin.hydrogel,thanhydrogel,16more48less,butsq.orsizesq.padsq.pad4816less,in.,lessthanwithin.more16in.,sq.sizesq.sizesizewithbutsq.16in.in.,thanin.anyor48 A6220 A6232A6244A6231A6229A6223A6245A6243A6240A6241A6242A6239A6238A6237A6236A6235A6234A6230A6228A6222A6224A6221A6233 anywithoutlesswithdressingbutmoresizesterile,thangreatersq.less,16 sq.in.,in.lesssizethanadhesivewithoutoranythanin.butwithoutpadthanequalthanadhesiveadhesiveorsizeorless48sizeequal16less,oradhesivetoadhesivesq.border,thanadhesiveequalsq.more1648in.,eachborder,toborder,in.,sq.sq.or48eacheachtothanequalborder,dressingin.butin.,border,sq.48border,eacheachordressingwithless48dressing16in.,sq.toless,sq.eachdressingwithouteachdressingin.,than48anyeachwithoutin.,sq.withwithoutdressingorsizedressingbutwithoutin.,dressingequaladhesiveanyadhesivelesswithoutadhesiveadhesivesizetothanadhesive48border,adhesiveadhesiveborder,orsq.border,border,equalin.,border,eacheachborder,eachtoborder,eachdressing48eachdressingdressingsq.dressingeacheachin.,

The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. CodeGauze,TransparentPackingSpecialtyWoundTransparentHydrogelSpecialtyWoundHydrogelInjection,AAC+35%AAC+35%AAC+20%WoundWheelchairPowerimpregnated,filler,strips,Ratecleansers,absorptiveabsorptivedressing,dressing,immune25.85film,film,11.2312.9919.023.442.422.608.750.975.077.941.501.541.221.381.59drymobilityfiller,non-impregnated,sterile,form,sterile,accessory,sterile,woundglobulin,dressing,wounddressing,othergel/paste,device,permore16thananycover,gram,filler,cover,sq.(flebogamma),wheelchairwoundwoundthantype,Revisednotwater,in.persterile,sterile,gel,orcodednotsterile,fluid4816anyless,cover,cover,cover,normalsterile,otherwisesq.sq.Descriptionupsizeounce,padbyseatpadin.,eachin.toDMEsterile,sterile,intravenous,sizebutperorsaline,each2sizedressingnotinchesbackspecifiedfluidlessmorePDACmoredressingpadotherwisepadorthancushion,ounceinthanzincsizesizethanwidth,ornon-lyophilizedormoredoespaste,16more48equalspecifieddoessq.persq.notthanthansterile,in.in.toin.,notlinearmeet48orbut4816meet A6246 A6266A6255A6254A6252K0899K0669A6407A6259A6262A6260A626lA6258A6257A6256A6251A6253A6248A624711572 criteriaspecific(e.g.anyyardeachsq.less,dressingwithlessin.,in.width,thanwithwithoutLiquid),anydressingbutwithwithouteachcodeorsizeanylessperequalanydressingadhesivecriteria500adhesivesizethanlinearadhesivesizetomgadhesiveor48adhesiveyardorequalborder,border,sq.noborder,writtenin.,border,toeachborder,48eachwitheachsq.codingdressingeachanydressingin.,dressingeachsizedressingwithwithoutverificationdressingadhesiveanyadhesivesizeborder,fromadhesiveborder,DMEeachborder,PDACeach

The following codes have been deleted and replaced by new crosswalked codes:

Old CodeFormoterolNewRANew17606AACCodefumarate,Rateclassification)ReplacementinhalationOldandsolution,Descriptionrepair. FDA(Paymentapproveddependsfinalon product RP Q4099 RB doseproduct,form,non-compounded,20 micrograms administered through DME, unit

The following codes have been deleted and replaced by existing crosswalked codes, the fees for which are available in 114.3 22.06:

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

Published May 01, 2009

Insurance, Division of 211 CMR 27.00 5/11/09 @ 10:00 A.M. Written comments accepted on or before 5/6/09

Commonwealth Health 956 CMR 3.00 5/29/09 @ 10:00 A.M. Written Insurance Connector Authority comments are welcomed

Marine Fisheries, Division of 322 CMR 8.00 5/11/09 @ 6:00 P.M. Written Comments accepted until 5/12/09 @ 5:00 P.M.

Labor and Workforce 453 CMR 9.00 5/12/09, 10:00 A.M. - 2:00 P.M.; Development, Department of 5/14/09, 10:00 A.M. - 2:00 P.M. Comments accepted until close of business on 5/22/09.

Medical Assistance, Division 130 CMR 409.000 Comments accepted until 5/8/09. of

Boxing Commission, State 523 CMR 3.00 5/21/09 @ 12:00 P.M.

Food & Agriculture, 330 CMR 29.00 5/12/09, 10:00 A.M. - 2:00 P.M. Department of Written comments accepted at hearing.

TIMOTHY P. MURRAY LIEUTENANT GOVERNOR NONNIE S. BURNES COMMISSIONER OF INSURANCE

NOTI CE OF HEARING

G2009-02

Proposed New Regulation 211 CMR 27.00, Military-Sales.Practices

Pursuant to Chapter 30A and the authority· granted to the Commissioner of Insurance under Chapter M,O.L. c. 1760 of the Massachusetts Oeneral Laws, a hearing will be held at the Division of Insurance, One South Station, Boston, MA 02110-2208 on May 11, 2009 at 10:00 a.m. regarding the proposed regulation 211CMR 27.00, Military Sales Practices.

The purpose of this hearing is to afford all interested persons an opportunity to provide oral and/or written comments regarding the proposed regulation, which sets forth standards to protect active duty members of the United States Armed Forces from dishonest and predatory insurance sales practices by declaring certain identified practices to be false, misleading, deceptive or unfair. The regulatory proceeding concerning the proposed regulation 211 CMR 27.00 is designated as Docket No. 02009-02.

Any person who wishes to provide oral comment about 211 CMR 27.00 is requested to file a Notice of Intent to Comment with the Division of Insurance on or before May 6, 2009. All other persons who wish to provide oral comment will be heard after those who notify the Division of Insurance in advance. Written comments may be submitted until the record of the hearing is closed. All submissions must be sent to: Docket Clerk, Hearings and Appeals, Division of Insurance, One South Station, Boston, Massachusetts 02110-2208, and must refer to Docket No. 02009-02. Copies of the proposed regulation are available from the Docket Clerk or on the Division's website at www.mass.gov/doi.

Nonnie S. Burnes Commissioner of Insurance

Dated: 4 / 1!?J0

DEVAL PATRICK LESLIE KIRWAN Governor Board Chair TIM MURRAY JON M. KINGSDALE Lieutenant Governor Executive Director

NOTICE OF PUBLIC HEARING

Under the provisions of M.G.L. c. 30A and pursuant to the regulatory authority found in St. 2006, c. 58, the Commonwealth Health Insurance Connector Authority will conduct a public hearing for the purpose of gathering comments, ideas, and information concerning the following proposed amendments to existing regulations:

956 CMR 3.00 Amendments to Eligibility and Hearing Process for Commonwealth Care

The proposed amendments to 956 CMR 3.00, the Commonwealth Care regulations, are required to (1) reflect the fact that, starting July 1, 2009, participation in the program will not be restricted to four Medicaid Managed Care Operations; (2) replace technical description of the way that the Connector determines premium differential among various health plans within a particular Plan Type; (3) reflect changes to the auto assignment proposed in the health plan procurement for the upcoming fiscal year; (4) organizational and stylistic changes to better describe the enrollment process; (5) require persons seeking a payment plan to demonstrate financial need, and permitting Connector to consider requester's payment history and other circumstances in allowing that plan: (6) permitting Connector to request further information from appellants and dismiss appeals for a lack of response, in an effort to promote quicker resolution of problems, and to permit Connector to disenroll members, at request of Health Plan or otherwise, for abuse (i.e., behavior that threatens operations at the Health Plan or provider locations) as well as fraud; this reflects procedures already in the Health Plan contracts; (7) eliminate outdated references to Plan Type IV and V; and (8) make stylistic changes.

Scheduled Hearing Date and Location:

Friday, May 29, 2009, 10:00am (Registration Begins at 9:30am) Ashburton Cafe One Ashburton Place Boston, MA

These proposed amended regulations were approved on April 9, 2009. A copy of the proposed amended regulations and hearing rules may be obtained from the Commonwealth Health Insurance Connector Authority, 100 City Hall Plaza, 6th Floor, Boston, MA 02108 during normal business hours or on the web at www.mahealthconnector.org, under the tab "health care reform". All persons desiring to be heard on these matters should appear at the designated place and time. Written comments in advance of the hearing and at the hearings are welcome and if mailed, should be sent to

Connector Public Hearing Notice Page I The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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 same address - Attention to Jamie Katz: Public Comments. Or emailed to connector• [email protected]. Written Comments will be accepted until May 29,2009 at 5 P.M.

Connector Public Hearing Notice Page 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. ~06-~ Division of Marine Fisheries 251 Causeway Street, Suite 400 Boston, Massachusetts 02114 Paul J. Diodati (617)626-1520 Director fax (617)626-1509 Deval Patrick Governor Ian A. Bowles Secretary NOTICE OF PUBLIC HEARING Mary B. Griffin SCHEDULED FOR MAY 11,2009 Commissioner

Under the provisions ofM.G.L. Ch 30A and pursuant to the authority found in M.G.L. Ch. 130 § 17A Division of Marine Fisheries (DMF) and the Marine Fisheries Advisory Commission (MFC) have scheduled a hearing to accept comments on an emergency action that establishes a Spring Cod Conservation Zone (322 CMR 8.15):

I. comprised of waters under the jurisdiction of the Commonwealth north of latitude 42° 30', south of latitdue 42° 33', east of 70° 43' and west of 70° 40; 2. prohibiting any person from landing or possessing cod in the Spring Cod Conservation Zone (Spring CCZ) during May 1 through June 30; 3. allowing vessels to transit the Spring CCZ during May 1 through June 30 with cod in possession provided said cod were caught outside of the Spring CCZ and all fishing gear is stowed; 4. prohibiting any person from fishing, setting or abandoning gillnets in the Spring CCZ during May 1 - June 30.

A public hearing has been scheduled for: Monday, May 11,2009 (6PM) at the Annisquam River Marine Fisheries Station (30 Emerson Ave.)

Comments received bye-mail (marine. fishllvstate.ma.us), fax (617.626.1509), or mail (251 Causeway St., Suite 400; Boston, MA 02114) will be accepted until5PM on Tuesday, May 12,2009.

Contact DMF for regulations and further details or visit our website at www.mass.£!ov/marinefisheries.

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In accordance with M.G.L. c. 30A, § 2, the Massachusetts Division of Occupational Safety will hold Public Hearings to receive comments on proposed new regulations, 453 CMR 9.00, Civil Administrative Penalties, that would provide for the assessment of certain civil administrative penalties, including monetary penalties, for violations of asbestos, lead and employment agency laws and regulations enforced by the Division of Occupational Safety. The proposed regulations are authorized by M.G.L. c. 111, § 197B; M.G.L. c. 140, § 46Q; and M.G.L. c. 149, § 6Fl/2. Hearings will be held on May 12,2009, from 10:00 a.m to 2:00 p.m. in Minihan Hall, 6th floor of the Charles F. Hurley Building, 19 Staniford Street, Boston, MA and on May 14,2009 from 10:00 a.m to 2:00 p.m. in Room 305 of the Springfield State Office Building, 436 Dwight Street, Springfield, MA. Copies of the proposed regulation may be picked up during business hours at the followinf offices of the Division of Occupational Safety: the Boston office, located at 19 Staniford Street, 2n floor, Boston, MA; the West Newton office, located at 1001 Watertown Street, West Newton, MA; or the Springfield office, located at 165 Liberty Street, Springfield, MA. Copies may also be obtained by calling (617) 626-6959. Comments on the proposed regulations may be sent to Laura Marlin, Commissioner, Massachusetts Division of Occupational Safety, 19 Staniford Street, 2nd Floor, Boston, MA 02114 until the close of business on May 22, 2009.

NOTICE OF PROPOSED AMENDMENT OF REGULA TrONS

The Division proposes to amend its regulations under the authority ofM.G.L. c. 118E, ss. 7 and 12 and pursuant to M.G.L. c. 30A, s. 3. The Division describes the substance of the proposed actions as amendments to regulations found at 130 CMR 409.000: Durable Medical Equipment and Supplies Services.

The regulation revisions focus on strengthening provider qualifications to be enrolled as a MassHealth provider of durable medical equipment and supplies (DME), clarifying covered and non-covered services, removing language regarding pricing which is now contained in the Division of Health Care Finance and Policy regulations, clarifying and strengthening language related to prior authorization ofDME, and clarifying language related to DME provided to members in facilities. The proposed regulations went through public notice and hearing in June, 2008, and additional revisions were made after the public comment period. The new changes include changes in prior authorization and prescription requirements for Personal Emergency Response Systems,provider responsibilities regarding Recall Notices, and clarification of coverage of DME for members in nursing facilities.

It is anticipated that these amendments will not go into effect before June 1, 2009.

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 May 8,2009.

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, 600 Washington Street, Boston, Massachusetts 02111.

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.·

By Order of the Division of Medical Assistance

TOM DEHNER, MEDICAID DIRECTOR April 17,2009

Deval L. Patrick ~tr4' (d-P;) )"2)" -S)"32 Kevin M. Burke Govemor Secretary !7YW (d'17.J /.?~t7t7/.9 Timothy P. Murray Thomas G. Gatzunis, P.E. Lieutenant Govemor Commissioner «HUeU-.Nt44

NOTICE OF PUBLIC HEARING

Under the provisions ofG.L. c. 30A, and pursuant to G.L. c. 147, §46, the State Boxing Commission will hold a public hearing for the purposes of gathering comments, ideas, and infonnation concerning amendment of the following regulations:

523 CMR 3.06- State Boxing Championship Program. The regulations governing the program would replace those that presently exist relative to the now defunct New England Championship Title. The program consists of a structured framework under which a champion would be crowned in each of nine weight classes. Criteria relative to qualifications to become champion, naming of a champion, defending a title, creation of a rankings system, and other related administrative rules are provided for in the new regulations.

Scheduled Hearing Date: Thursday, May 21,2009, at 12:00 P.M Location: Department of Public Safety, One Ashburton Place, 13th floor, Boston, MA 02108

The proposed regulatory amendments may be viewed by logging onto the Department of Public Safety's website at www.mass.gov/dps and clicking on the "Boxing Commission" link. Anyone who desires to be heard on the matter should appear at the designated time and place.

THE COMMONWEALTH OF MASSACHUSETTS, DEPARTMENT OF AGRICULTURE RESOURCES HEREBY GIVES NOTICE OF A GENERAL HEARING, PURSUANT TO M.G.L. C.30A, § 2 and 950 CMR 20.04 which requires the Commissioner of the Department of Agricultural Resources ("Commissioner") to hold a public hearing for the permanent adoption of 330 CMR 29.00, the Dairy Farmer Tax Credit Program. The program and regulation are designed to provide revenue stability for dairy farmers when milk prices paid to dairy fanners fall dramatically.

All persons desiring to provide oral testimony are hereby notified to appear upon the following dates and times at the respective designated locations: May 12, 2009 10:00 a.m. to 2:00 p.m. at the Northborough Free Library, 34 Main Street, Northborough, MA; May 14,2009 10:00 a.m. to 2:00 p.m. the DAR Amherst Office, 101 University Drive, Suite C-4, Amherst, MA. In addition to oral testimony, written comments will be accepted at the hearings.

The full text of the regulation and background information is available at ••http://www.mass.gov/agr/dairy/dairy_tax_credit.htm ••A hard copy of the full text of the regulation and background information are also available upon written request made to the Commissioner.

By: Scott J. Soares, Commissioner.

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

Effective Issue Date

101 CMR Executive Office for Health and Human Services 15.00 Criminal Offender Records Checks ...... 1129 5/1/09

104 CMR Department of Mental Health 27.00 Licensing and Operational Standards - Correction (MA Reg. # 1120) 1123 12/26/08

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. Effective Issue Date

105 CMR Department of Public Health 100.000 Determination of Need...... 1125 3/6/09 164.000 Licensure of Substance Abuse Treatment Programs - Correction (MA Reg # 1120) ...... 1127 12/26/08 200.000 Physical Examination of School Children ...... 1129 5/1/09 302.000 Congenital Anomalies Register ...... 1123 2/6/09 750.000 Licensing and Approval of Drug Treatment Programs - Correction (MA Reg. # 1120) ...... 1121 12/26/08 970.000 Pharmaceutical and Medical Device Manufacturer Conduct ...... 1127 4/3/09

106 CMR Department of Transitional Assistance 203.000 Transitional Aid to Families with Dependent Children: Nonfinancial Eligibility ...... 1123 2/6/09 204.000 Transitional Aid to Families with Dependent Children: Financial Eligibility - Emergency ...... 1123 1/21/09 - Compliance (MA Reg. # 1123) ...... 1126 1/21/09 ...... 1123 2/6/09 309.000 Emergency Assistance - Emergency ...... 1123 1/21/09 - Compliance (MA Reg. # 1123) ...... 1126 1/21/09 ...... 1128 4/17/09 320.000 Emergency Aid to the Elderly, Disabled and Children: Categorical Eligibility ...... 1123 2/6/09 321.000 Emergency Aid to the Elderly, Disabled and Children: Categorical Eligibility ...... 1123 2/6/09 363.000 Food Stamp Program: Financial Eligibility Standards - Compliance (MA Reg. # 1119) ...... 1122 10/1/08 364.000 Food Stamp Program: Determining Household Eligibility and Benefit Level - Correction (MA Reg. # 1119) ...... 1121 10/1/08 - Compliance (MA Reg. # 1119) ...... 1122 10/1/08 701.000 Transitional Cash Assistance Programs: General Policies ...... 1123 2/6/09 702.000 Transitional Cash Assistance Programs: The Eligibility Process . . . . 1123 2/6/09

114 CMR Division of Health Care Finance and Policy 114.1 41.00 Rates of Payment for Services Provided to Industrial Accident Patients by Hospitals ...... 1126 4/1/09 114.3 4.00 Rates for Community Health Centers - Emergency ...... 1124 2/7/09 - Compliance (MA Reg, # 1124) ...... 1129 2/7/09 14.00 Dental Services ...... 1124 1/1/09 16.00 Surgery and Related Anesthesia Services - Correction (MA Reg. # S1119)...... 1124 12/1/08 - Compliance (MA Reg. # S1119) ...... 1124 12/1/08

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. Effective Issue Date

17.00 Medicine - Compliance (MA Reg. # S1119)...... 1124 12/1/08 - Correction - (MA Reg. # S1119)...... 1125 12/1/08 18.00 Radiology - Compliance (MA Reg. # S1119) ...... 1124 12/1/08 20.00 Clinical Laboratory Services - Emergency ...... 1123 2/1/09 - Correction to Emergency (MA Reg. # 1123)...... 1128 2/1/09 - Compliance (MA Reg. # 1123) ...... 1128 2/1/09 22.00 Durable Medical Equipment, Oxygen and Respiratory Therapy Equipment - Emergency ...... 1122 1/1/09 - Compliance (MA Reg. # 1122) ...... 1127 1/1/09 40.00 Rates for Services under M.G.L. c. 152, Worker’s Compensation Act ...... 1128 4/1/09 43.00 Hospice - Correction (MA Register # 1120)...... 1125 12/27/08 - Compliance (MA Reg. # 1120) ...... 1125 12/27/08 45.00 Temporary Nursing Services ...... 1126 3/15/09 50.00 Home Health Services - Compliance (MA Reg. #S1119) ...... 1125 12/1/08 52.00 Rates of Payment for Certain Children’s Behavioral Health Services 1121 11/1/08 ...... 1128 1/1/09 114.5 18.00 Health Insurance Responsibility Disclosure ...... 1128 4/1/09 19.00 Insurer Assessment ...... 1127 3/15/09 114.6 13.00 Health Safety Net Eligible Services ...... 1126 2/1/09

130 CMR Division of Medical Assistance 405.000 Community Health Center Services - Emergency ...... 1123 10/1/08 - Compliance (MA Reg. # 1123) ...... 1127 10/1/08 410.000 Outpatient Hospital Services ...... 1122 12/26/08 415.000 Acute Inpatient Hospital Services ...... 1122 12/26/08 416.000 Hearing Instrument Specialist ...... 1125 3/15/09 - Correction (MA Reg. # 1125) ...... 1127 3/15/09 420.000 Dental Services ...... 1125 3/6/09 ...... 1127 3/6/09 425.000 Psychiatric Inpatient Hospital Services ...... 1122 12/26/08 426.000 Audiological Services ...... 1125 3/15/09 - Correction (MA Reg. # 1125) ...... 1127 3/15/09 429.000 Mental Health Center Services ...... 1122 12/26/08 433.000 Physician Services ...... 1122 12/26/08 - Emergency ...... 1123 10/1/08 - Compliance (MA Reg. # 1123) ...... 1127 10/1/08 434.000 Psychiatric Hospital Outpatient Services ...... 1122 12/26/08 450.000 Administrative and Billing Regulations - Emergency ...... 1122 2/1/09 - Compliance (MA Reg. # 1122) ...... 1128 2/1/09 ...... 1126 4/1/09 501.000 Health Care Reform: MassHealth: General Policies - Emergency ... 1129 10/31/08 506.000 Health Care Reform: MassHealth: Financial Requirements - Emergency ...... 1129 1/1/08 515.000 MassHealth: General Policies - Emergency ...... 1129 10/31/08 519.000 MassHealth: Coverage Types - Emergency ...... 1129 1/1/08

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. Effective Issue Date

520.000 MassHealth: Financial Eligibility - Emergency ...... 1124 7/1/08 - Compliance ...... 1127 7/1/08 - Emergency ...... 1129 1/1/08

201 CMR Executive Office of Consumer Affairs 17.00 Standards for the Protection of Personal Information of Residents of the Commonwealth ...... 1125 3/6/09

205 CMR State Racing Commission 3.00 Harness Horse Racing ...... 1129 5/1/09 4.00 Rules of Horse Racing...... 1129 5/1/09

211 CMR Division of Insurance 39.00 Annuity Mortality Tables for Use in Determining Reserve Liabilities for Annuities ...... 1126 3/20/09 85.00 Massachusetts Automobile Insurance: Table of Short Rate Values . . 1123 2/6/09 97.00 Procedures for Cancellation and Non-renewal of Motor Vehicle Insurance Policies ...... 1123 2/6/09

220 CMR Department of Public Utilities 14.00 The Unbundling of Services Related to the Provision of Natural Gas 1123 2/6/09 25.00 Billing and Termination Procedures of the Department of Public Utilities ...... 1123 2/6/09

225 CMR Department of Energy Resources 14.00 Renewable Energy Portfolio Standard - Class I - Emergency ...... 1122 12/31/08 - Emergency ...... 1128 3/31/09 15.00 Renewable Energy Portfolio Standard - Class II - Emergency ...... 1122 12/31/08 - Emergency ...... 1128 3/31/09 16.00 Alternative Energy Portfolio Standard - Emergency ...... 1122 12/31/08 - Emergency ...... 1128 3/31/09 17.00 Advanced Biofuels Qualification and Minimum Content Requirements - Emergency ...... 1122 1/9/09

247 CMR Board of Registration in Pharmacy 2.00 Definitions - Compliance (MA Reg. #1114) ...... 1121 9/16/08 5.00 Orally and Electronically Transmitted Prescriptions: Electronic Data - Compliance (MA Reg. #1114) ...... 1121 9/16/08

263 CMR Board of Registration of Physician Assistants 5.00 Scope of Practice and Employment of Physician Assistants - Emergency ...... 1121 12/17/08 ...... 1127 4/3/09

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. Effective Issue Date

264 CMR Board of Registration of Real Estate Appraisers 4.00 Renewal Procedures and Continuing Education Requirements . . . . . 1123 2/6/09 5.00 Licensure/Certification Requirements ...... 1123 2/6/09 6.00 Practice of Real Estate Appraisal ...... 1123 2/6/09 12.00 Board Procedures...... 1123 2/6/09

270 CMR Board of Registration of Genetic Counselors 2.00 Purpose, Authority, Definitions, and Severability ...... 1121 1/9/09 3.00 Licensure Requirements and Procedures ...... 1121 1/9/09 4.00 Grounds for Discipline, Complaints, Disciplinary Actions, Summary License Suspension, and License Reinstatement ...... 1121 1/9/09

301 CMR Executive Office of Energy and Environmental Affairs 13.00 Public Benefit Determination - Correction (MA Reg. #1120) ...... 1121 12/26/08

310 CMR Department of Environmental Protection 7.00 Air Pollution Control - Correction (MA Reg. # 1112) ...... 1125 9/5/08 - Emergency ...... 1122 12/29/08 - Compliance (MA Reg. # 1122) ...... 1126 12/29/08 ...... 1125 3/6/09 ...... 1125 3/6/09 ...... 1125 3/1/09 ...... 1125 3/6/09 - Correction (MA Reg. # 1125) ...... 1127 3/6/09 10.00 Wetlands Protection - Emergency ...... 1122 1/6/09 30.00 Hazardous Waste ...... 1129 5/1/09 41.00 Financial Assistance for the Costs of Water Pollution Abatement Projects ...... 1122 1/23/09 44.00 DEP Selection, Approval and Regulation of Water Pollution Abatement Projects Receiving Financial Assistance from the State Revolving Fund...... 1122 1/23/09

314 CMR Division of Water Pollution Control 2.00 Permit Procedures ...... 1126 3/20/09 5.00 Groundwater Discharge Permit Program ...... 1126 3/20/09 6.00 Ground Water Quality Standards ...... 1126 3/20/09 9.00 401 Water Quality Certification for Discharge of Dredged or Fill Material, Dredging, and Dredged Material Disposal in Waters of the United States Within the Commonwealth - Emergency ...... 1122 1/6/09 12.00 Operation and Maintenance and Pretreatment Standards for Wastewater Treatment Works and Indirect Dischargers ...... 1126 3/20/09 19.00 Oil Spill Prevention and Response - Emergency ...... 1125 2/12/09 ...... 1129 5/1/09 20.00 Reclaimed Water Permit Program and Standards ...... 1126 3/20/09

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. Effective Issue Date

322 CMR Division of Marine Fisheries 4.00 Fishing and Shellfish Equipment ...... 1129 5/1/09 6.00 Regulation of Catches ...... 1123 2/6/09 ...... 1129 5/1/09 7.00 Permits ...... 1129 5/1/09 8.00 Coastal Fisheries Conservation and Management ...... 1129 5/1/09 12.00 Protected Species...... 1129 5/1/09

330 CMR Department of Food and Agriculture 29.00 Dairy Farmer Tax Credit Program - Emergency ...... 1125 2/20/09 Emergency Re-file ...... 1129 2/20/09

350 CMR Department of Conservation and Recreation 14.00 Fees, Licenses, Permits, Rents, Leases and Other - Emergency ..... 1128 3/31/09

430 CMR Division of Unemployment Assistance 4.00 Benefit Series - Emergency ...... 1122 1/11/09 ...... 1127 4/3/09

520 CMR Department of Public Safety 5.00 Amusement Devices ...... 1126 3/20/09 14.00 Excavation and Trench Safety - Emergency ...... 1129 4/16/09

522 CMR Board of Boiler Rules 18.00 Continuing Education Requirements for Engineers and Firemen . . . . 1121 1/9/09

524 CMR Board of Elevator Regulations 32.00 Vertical Reciprocating Conveyers - Emergency ...... 1129 4/15/09

527 CMR Board of Fire Prevention Regulations 9.00 Tanks and Containers ...... 1123 2/6/09 10.00 Fire Prevention, General Provisions ...... 1123 2/6/09 14.00 Flammable and Combustible Liquids, Flammable Solids or Flammable Gases...... 1123 2/6/09 32.00 Approved Smoke Detectors ...... 1123 2/6/09

603 CMR Department of Elementary and Secondary Education 4.00 Vocational Technical Education ...... 1124 2/20/09

711 CMR Outdoor Advertising Board 3.00 Control and Restriction of Billboards, Signs and Other Advertising Devices...... 1129 5/1/09

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. Effective Issue Date

780 CMR State Board of Building Regulations and Standards 1.00 Administration (6th Edition)...... 1126 3/1/09 (7th Edition) - Emergency ...... 1127 3/12/09 2.00 Definitions (6th Edition)...... 1126 3/1/09 (7th Edition) - Emergency ...... 1127 3/12/09 3.00 Use or Occupancy (6th Edition) ...... 1126 3/1/09 3.00 Use and Occupancy Classification (7th Edition) ...... 1121 1/9/09 - Emergency ...... 1127 3/12/09 4.00 Special Use and Occupancy (6th Edition) ...... 1126 3/1/09 4.00 Special Detailed Requirements Based on Use and Occupancy (7th Edition) - Emergency ...... 1127 3/12/09 5.00 General Building Heights and Areas (6th Edition) ...... 1126 3/1/09 (7th Edition) - Emergency ...... 1127 3/12/09 6.00 Types of Construction (6th Edition) ...... 1126 3/1/09 (7th Edition) - Emergency ...... 1127 3/12/09 7.00 Fire-resistance Materials and Construction (6th Edition) ...... 1126 3/1/09 7.00 Fire-resistance-rated Construction (7th Edition) - Emergency ...... 1127 3/12/09 8.00 Interior Finishes (6th Edition)...... 1126 3/1/09 9.00 Fire Protection Systems (6th Edition) ...... 1126 3/1/09 9.00 Fire Protection and Life Safety Systems (7th Edition) - Emergency .. 1127 3/12/09 10.00 Means of Egress (6th Edition) ...... 1126 3/1/09 (7th Edition) - Emergency ...... 1127 3/12/09 11.00 Accessibility (6th Edition) ...... 1126 3/1/09 (7th Edition) - Emergency ...... 1127 3/12/09 12.00 Interior Environment (6th Edition) ...... 1126 3/1/09 13.00 Energy Conservation (6th Edition) ...... 1126 3/1/09 13.00 Energy Efficiency ...... 1121 1/9/09 (7th Edition) - Emergency ...... 1127 3/12/09 14.00 Exterior Wall Coverings (6th Edition) ...... 1126 3/1/09 15.00 Roof and Roof Coverings (6th Edition) ...... 1126 3/1/09 Roof Assemblies and Rooftop Structures (7th Edition) - Emergency . 1127 3/12/09 16.00 Structural Loads (6th Edition) ...... 1126 3/1/09 16.00 Structural Design (7th Edition) - Emergency ...... 1127 3/12/09 17.00 Structural Tests and Inspections (6th Edition) ...... 1126 3/1/09 18.00 Foundations and Retaining Walls (6th Edition) ...... 1126 3/1/09 (7th Edition) - Emergency ...... 1127 3/12/09 19.00 Concrete (6th Edition)...... 1126 3/1/09 20.00 Lightweight Metals (6th Edition) ...... 1126 3/1/09 21.00 Masonry (6th Edition)...... 1126 3/1/09 22.00 Steel (6th Edition) ...... 1126 3/1/09 23.00 Wood (6th Edition) ...... 1126 3/1/09 (7th Edition) - Emergency ...... 1127 3/12/09 24.00 Glass and Glazing (6th Edition) ...... 1126 3/1/09 25.00 Gypsum Board and Plaster (6th Edition) ...... 1126 3/1/09 26.00 Plastic (6th Edition) ...... 1126 3/1/09 27.00 Electrical Wiring, Equipment and Systems (6th Edition) ...... 1126 3/1/09

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. Effective Issue Date

28.00 Mechanical Systems (6th Edition) ...... 1126 3/1/09 (7th Edition) - Emergency ...... 1127 3/12/09 29.00 Plumbing Systems (6th Edition) ...... 1126 3/1/09 30.00 Elevators and Conveying Systems (6th Edition) ...... 1126 3/1/09 31.00 Special Construction (6th Edition) ...... 1126 3/1/09 (7th Edition) - Emergency ...... 1127 3/12/09 32.00 Construction in the Public-right-of-way (6th Edition) ...... 1126 3/1/09 33.00 Safeguards During Construction ...... 1121 1/9/09 33.00 Sitework, Demolition and Construction (6th Edition) ...... 1126 3/1/09 34.00 Repair, Alteration, Addition and Change of Use of Existing Structures (6th Edition)...... 1126 3/1/09 34.00 Existing Structures...... 1121 1/9/09 (7th Edition) - Emergency ...... 1127 3/12/09 35.00 Manufactured Buildings, Manufactured Building Components and Manufactured Housing (6th Edition) ...... 1126 3/1/09 35.00 Reference Standards (7th Edition) - Emergency ...... 1127 3/12/09 51.00 Administration for Single- and Two-family Dwellings ...... 1121 1/9/09 53.00 Building Planning for Single and Two-family Dwellings ...... 1121 1/9/09 54.00 Foundations - Emergency ...... 1127 3/12/09 55.00 Floors - Emergency ...... 1127 3/12/09 93.00 Repair, Renovation, Alteration, Addition, Demolition and Change of Use of Existing One- and Two-Family Dwellings ...... 1121 1/9/09 110.00 Special Regulations ...... 1121 1/9/09 - Emergency ...... 1127 3/12/09 120.00 Appendices...... 1121 1/9/09 - Emergency ...... 1127 3/12/09 Appendices A to L (6th Edition)...... 1126 3/1/09 Special Rules and Regulations R1 to R7 (6th Edition) ...... 1126 3/1/09

801 CMR Executive Office for Administration and Finance 4.00 Rates...... 1121 1/9/08 - Emergency ...... 1124 1/30/09 ...... 1124 2/20/09 ...... 1124 2/20/09 ...... 1127 4/3/09

803 CMR Criminal History Systems Board 1.00 Sex Offender Registry Board: Registration, Classification and Dissemination - Compliance (MA Reg. # 1120) ...... 1125 12/11/08

807 CMR Teachers’ Retirement Board 10.00 Maternity Service Purchases ...... 1129 5/1/09 12.00 Rollover Distributions and Trust to Trust Transfers ...... 1124 2/20/09

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. Effective Issue Date

830 CMR Department of Revenue 63.00 Taxation of Corporations - Emergency ...... 1121 12/24/08 63.00 ...... 1126 3/20/09 63.00 ...... 1126 3/20/09

941 CMR State Board of Retirement 3.00 Rollover Distributions and Payment for Purchase of Creditable Service ...... 1125 3/6/09

950 CMR Office of the Secretary of the Commonwealth 51.00 Polling Place Accessibility for Elderly and Handicapped Voters - Emergency ...... 1124 2/3/09 - Compliance (MA Reg. # 1124) ...... 1127 2/3/09

961 CMR State Lottery Commission 2.00 Rules and Regulations ...... 1129 5/1/09

29 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. Docket # 68 THE COMMONWEALTH OF MASSACHUSETTS Office of the Secretary of the Commonwealth

NOTICE OF EXPIRATION OF EMERGENCY REGULATION

CHAPTER NUMBER:225 CMR 17.00

CHAPTER TITLE:ADVANCED BIOFUELS QUALIFICATION AND MINIMUM CONTENT REQUIREMENTS

AGENCY:Department of Energy Resources

THIS REGULATION WAS ORIGINALLY ADOPTED AS AN EMERGENCY: EFFECTIVE: 01/09/2009

Published in Massachusetts Register Num 1122 Date: 01/23/2009

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

04/09/2009

NOTICE OF EXPIRATION OF EMERGENCY REGULATION

CHAPTER NUMBER:310 CMR 10.00

CHAPTER TITLE:Wetlands Protection Act

AGENCY:Department of Environmental Protection

THIS REGULATION WAS ORIGINALLY ADOPTED AS AN EMERGENCY: EFFECTIVE: 01/06/2009

Published in Massachusetts Register Num 1122 Date: 01/23/2009

04/06/2009

NOTICE OF EXPIRATION OF EMERGENCY REGULATION

CHAPTER NUMBER:314 CMR 9.00

CHAPTER TITLE:Massachusetts Clean Water Act

AGENCY:Division of Water Pollution Control

THIS REGULATION WAS ORIGINALLY ADOPTED AS AN EMERGENCY: EFFECTIVE: 01/06/2009

Published in Massachusetts Register Num 1122 Date: 01/23/2009

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 130 CMR 501.000

CHAPTER TITLE: Health Care Reform: MassHealth: General Policies

AGENCY: Division of Medical Assistance

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. The definition of “spouse” in the regulations is being revised to meet the requirements of state law.

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

AGENCY CONTACT: Sharon Johnson, MassHealth Publications PHONE: 617-210-5650

ADDRESS: 600 Washington Street, Boston, MA 02111

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

EMERGENCY ADOPTION - if this regulation is adopted as an emergency, state the nature of the emergency. These regulations are being adopted as emergency regulations to comply with state law.

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: 03/03/09 Executive Office of Communities and Development: 04/03/09 Massachusetts Municipal Association: 04/03/09

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

Date of public hearing or comment period: N/A

For the first five years: FY '09 through FY '13: $11,857,373 (cost) (in conjunction with 130 CMR 515.000) No fiscal effect:

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

N/A

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

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: Apr 6 2009

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1129 DATE: 05/01/2009

EFFECTIVE DATE: 10/31/2008

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

04/15/2009 mrs

501.001: continued

Presumptive Eligibility -a time-limited period of conditional eligibility for children based on the applicant's declaration of family group gross income.

Primary Care Clinician (PCC) Plan - a managed-care option administered by the Division through which enrolled members receive primary care and other medical services. See 130 CMR 450.118.

Oualified Employer - a small employer who: (1) purchases health insurance that meets the Basic-benefit Level; (2) contributes at least 50% of the cost of employees' health-insurance premiums; and (3) has completed an Employer Application form and been approved by the MassHealth agency or its contractor as a qualified employer pursuant to 130 CMR 650.010(A).

Quality Control - a system of continuing review to measure the accuracy of eligibility decisions.

Senior Care Organization - an organization that participates in MassHealth under a contract with the MassHealth agency and the Centers for Medicare and Medicaid Services to provide a comprehensive network of medical, health-care, and social-service providers that integrates all components of care, either directly or through subcontracts. Senior care organizations are responsible for providing enrollees with the full continuum of Medicare- and MassHealth- covered services.

Small Business - see definition for small employer.

Small Employer - an employer that has no more than 50 employees who work 30 hours or more a week, or a self-employed individual.

Spouse a person married to the applicant or member according to the laws of the Commonwealth of Massachusetts. Effective for applications and eligibility review forms received on or after October 31, 2008, notwithstanding the unavailability of federal financial participation, no person who is recognized as a spouse under the laws of the Commonwealth will be denied benefits that are otherwise available under M.G.L. c. 118E due to the provisions of 1 U.S.C. § 7 or any other federal nonrecognition of spouses of the same gender. If a member's eligibility changes as the result of updated or corrected information about marital status, the change in eligibility will be effective as of the date the MassHealth agency receives the new information, but no sooner than October 31, 2008.

Substantial Gainful Activity - generally, employment that provides a set amount of gross earnings as determined by the Social Security Administration (SSA) under Title XVI of the Social Security Act.

Third Party - any individual, entity, or program that is or may be responsible to pay all or part of the expenditures for medical benefits.

501.002: Introduction to MassHealth

(A) The MassHealth agency is responsible for the administration and delivery of health-care services to eligible low- and moderate-income individuals, couples, and families under MassHealth.

(B) 130 CMR 501.000 through 508.000 provide the MassHealth requirements for children, families, disabled persons, persons who are HIV positive, women with breast or cervical cancer, and certain individuals or couples who are under age 65 and not institutionalized. These requirements are prescribed under a 1115 Medicaid Research and Demonstration Waiver approved by the U.S. Department of Health and Human Services on April 24, 1995, and authorized by St. 1996, c. 203: An Act Providing Improved Access to Health Care; and under Title XXI of the Social Security Act and authorized by St. 1997, c. 170: An Act Expanding Access and Quality Health Care for Working Families, Children, and Senior Citizens in the Commonwealth.

5/1/09 (Effective 10/31/08) 655 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. 130 CMR: DIVISION OF MEDICAL ASSISTANCE

501.002: continued

(C) 130 CMR 515.000 through 522.000 provide the MassHealth requirements for persons who are institutionalized, aged 65 or older, or who would be institutionalized without community- based services as defined by Title XIX of the Social Security Act.

(D) The MassHealth agency will determine eligibility for low-income subsidies under Medicare Part D, as set forth in the Medicare Prescription Drug and Improvement and Modernization Act of 2003 and as described in 20 CFR Part 418.

501.003: MassHealth Coverage Types

(A) The MassHealth agency provides access to health care by determining eligibility for the coverage type that provides the most comprehensive benefits for an individual or family who may be eligible.

(B) MassHealth offers several coverage types: Standard, Prenatal, CommonHealth, Family Assistance, Basic, Buy-In, Essential, and Limited. The coverage type for which a person is eligible is determined based on the individual's income and circumstances, as described in 130 CMR 503.000 through 505.000.

(C) The MassHealth agency may limit the number of people who can be enrolled in MassHealth CommonHealth, MassHealth Family Assistance, and MassHealth Essential. When the MassHealth agency imposes such a limit, no new adult applicants (aged 19 or older) subject to these limitations will be added to these coverage types, and current adult members in these coverage types who have lost eligibility for more than 30 days for any reason will not be allowed to reenroll until the MassHealth agency is able to reopen enrollment for adults in these coverage types. Excluded from these limitations are parents receiving benefits under 130 CMR 505.005(C).

(D) Applicants who cannot be enrolled under MassHealth CommonHealth, MassHealth Family Assistance, or MassHealth Essential, pursuant to 130 CMR 501.003(C), will be placed on a waiting list when their eligibility has been determined. When the MassHealth agency is able to open enrollment for adult applicants, the applications will be processed in the order they were placed on the waiting list.

(E)(1) Medical coverage for MassHealth CommonHealth for persons who are enrolled from a waiting list will begin on the date that the application or new determination is processed from the waiting list. (2)(a) Family Assistance Premium Assistance payments for persons enrolled from the waiting list will begin in the month that the application or new determination is processed from the waiting list, or in the month that the health insurance deduction begins, whichever is later. (b) Medical coverage for Family Assistance Purchase of Medical Benefits for persons who are enrolled from a waiting list will begin on the date that the application or new determination is processed from the waiting list. (3)(a) Essential Premium Assistance payments for persons enrolled from the waiting list will begin in the calendar month following verification of the member's health insurance information. Coverage before enrollment for MassHealth Essential members who are aliens with special status is described in 130 CMR 505.007(E). (b) Medical coverage for Essential Purchase of Medical Benefits for persons enrolled from a waiting list will begin on the date specified in MassHealth' s notice of enrollment in the MassHealth Primary Care Clinician (PCC) Plan. There is no coverage for Essential members before the member's effective enrollment date, except as described in 130 CMR 505.007(E) for aliens with special status eligible for MassHealth Essential with MassHealth Limited.

501.004: Administration of MassHealth

(A) MassHealth. MassHealth formulates requirements and determines eligibility for all MassHealth coverage types.

5/1/09 (Effective 10/31/08) 656 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. 130 CMR: DIVISION OF MEDICAL ASSISTANCE

501.00: continued

(B) Qther Agencies. (1) Department of Transitional Assistance DTA . (a) The Department of Transitional Assistance administers the Transitional Aid to Families with Dependent Children (TAFDC) Program. Persons who meet the requirements of section 1931 of Title XIX (42 U.S.C. § 1396u-l) are automatically eligible for MassHealth Standard coverage. (b) DTA also administers the Emergency Aid to the Elderly, Disabled and Children (EAEDC) Program. Uninsured individuals and members of a couple receiving EAEDC cash assistance are automatically eligible for the purchase of medical benefits under MassHealth Basic upon managed-care enrollment, in accordance with the requirements of 130 CMR 508.000. Insured individuals and members of a couple receiving EAEDC cash assistance are automatically eligible for premium assistance under MassHealth Basic. Eligibility requirements for aliens with special status, as described in 130 CMR 504.002(D), who are aged 19 through 64, and receiving EAEDC, are detailed in 130 CMR 505.007(E). Families receiving EAEDC are automatically eligible for MassHealth Standard coverage and are provided choices of enrollment in a managed care plan, unless exempt in accordance with 130 CMR 508.004, except as described in 130 CMR 505.007(E). (2) Social Securitv Administration (SSA). District Social Security Offices administer the SSI program and determine the eligibility of disabled individuals. Individuals receiving SSI are automatically eligible for MassHealth Standard coverage. Individuals without health insurance are provided choices of enrollment in a managed care plan. (3) Department of Public Health (DPH). The Department of Public Health administers the Women's Health Network, which provides breast and cervical cancer screening and diagnostic services to certain low-income women. Uninsured women who are screened or receive diagnostic services through the Women's Health Network are eligible for MassHealth Standard for the duration of their cancer treatment if they: (a) are found to be in need of treatment for breast or cervical cancer; and (b) meet the MassHealth program requirements described in 130 CMR 505.002(H), as determined by MassHealth. (4) Department of Employment and Training (DET). The Department of Employment and Training administers the Medical Security Plan that provides health insurance to persons who are receiving, or who are eligible to receive, state or federal unemployment benefits. Coverage is offered either through direct purchase of coverage or partial reimbursement for insurance premium payments.

501.005: Individuals and Families Eligible for or Receiving Medical Assistance on June 30, 1997

(A) Members Who Were Not Subject to a Deductible. Individuals and families (including caretaker relatives) who were receiving Medical Assistance on June 30, 1997, and whose family group gross income on June 30, 1997 exceeded MassHealth eligibility standards will be provided MassHealth Standard coverage for one year after the date of Mass Health implementation, except in the following circumstances: the individual or family no longer lives in Massachusetts; the individual enters an institution; the individual turns 65; the individual or all members of the family are deceased; or the individual or family is no longer categorically eligible. Eligibility for continuing coverage will be reviewed toward the end of this one-year period.

(B) Families Who Have Met a Deductible. Families (including caretaker relatives) with children under 18 who were receiving Medical Assistance on June 30, 1997, as a result of meeting a deductible, or who were denied with a deductible before July 1, 1997, and subsequently meet a deductible on or after July 1, 1997, and whose family group gross income exceeds MassHealth standards will be eligible for MassHealth Standard for one year from the end of the deductible period, except in the following circumstances: (1) the individual or family no longer lives in Massachusetts; (2) the individual enters an institution;

5/1/09 (Effective 10/31/08) 656.1 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. 130 CMR: DIVISION OF MEDICAL ASSISTANCE

NON-TEXT PAGE

5/1/09 (Effective 10/31/08) 656.2 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 # 831

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 130 CMR 506.000

CHAPTER TITLE: Health Care Reform: MassHealth: Financial Requirements

AGENCY: Division of Medical Assistance

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. Amendments to the regulations about the federal-poverty level revise the date of the annual change from a specific month to “annually.”

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

AGENCY CONTACT: Sharon Johnson, MassHealth Publications PHONE: 617-210-5650

ADDRESS: 600 Washington Street, Boston, MA 02111

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

EMERGENCY ADOPTION - if this regulation is adopted as an emergency, state the nature of the emergency. These regulations are being adopted as emergency regulations to comply with federal law.

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: 03/18/09 Executive Office of Communities and Development: 04/17/09 Massachusetts Municipal Association: 04/17/09

Date of public hearing or comment period: N/A

For the first five years:

No fiscal effect: There are no fiscal effects.

N/A

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

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: Apr 9 2009

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1129 DATE: 05/01/2009

EFFECTIVE DATE: 01/01/2008

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

04/15/2009 mrs

506.007: continued

(B) Generally, eligibility is based on 100% of the federal-poverty level for long-term unemployed adults; 133% of the federal-poverty level for parents and disabled nonworking adults; 200% of the federal poverty level for pregnant women, persons who are HIV positive, and children who are special status aliens; and 300% of the federal poverty level for children who are citizens, nationals, or qualified aliens, as well as for adults working for qualified employers. Disabled persons with income in excess of these applicable standards may be eligible for MassHealth CommonHealth. There are no income caps for premium-based CommonHealth and the Children’s Medical Security Plan (CMSP).

(C) The monthly federal-poverty-level income standards are determined according to annual standards published in the Federal Register using the following formula. The MassHealth agency adjusts these standards annually.

5/1/09 (Effective 1/1/08) 674.1 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. 130 CMR: DIVISION OF MEDICAL ASSISTANCE

NON-TEXT PAGE

10/31/08 (Effective 8/1/08) 130 CMR - 674.2 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 # 835

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 130 CMR 515.000

CHAPTER TITLE: MassHealth: General Policies

AGENCY: Division of Medical Assistance

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. The definition of “spouse” in the regulations is being revised to meet the requirements of state law.

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

AGENCY CONTACT: Sharon Johnson, MassHealth Publications PHONE: 617-210-5650

ADDRESS: 600 Washington Street, Boston, MA 02111

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

EMERGENCY ADOPTION - if this regulation is adopted as an emergency, state the nature of the emergency. These regulations are being adopted as emergency regulations to comply with state law.

Date of public hearing or comment period: N/A

For the first five years: FY '09 through FY '13: $11,857,373 (cost) (in conjunction with 130 CMR 501.000) No fiscal effect:

N/A

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

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: Apr 6 2009

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1129 DATE: 05/01/2009

EFFECTIVE DATE: 10/31/2008

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

04/15/2009 mrs

515.001: continued

(2) For Children Under Age 18. The condition of an individual under the age of 18 who has any medically determinable physical or mental impairment, or combination of impairments, that causes marked and severe functional limitations, as defined in Title XVI of the Social Security Act, and can be expected to cause death or can be expected to last for a continuous period of not less than. 12 months. Disability for children eligible for MassHealth CommonHealth under 130CMR 519.012(B) is determined in accordance with the definition. for permanent and total disability for children under the age of 18 in 130 CMR 501.001.

Personal Needs Allowance (PNA) - the designated portion of monthly income that a person in long-term care is allowed to retain for personal expenses. In some instances, the Division pays all or a portion of the PNA to the member. The PNA must not be used for payment of any item included in the daily rate at the long-term-care facility.

Personal Needs Allowance (PNA) Account - an account administered by a long-term-care facility on behalf of a member. Regulations regarding the administration of PNA accounts are contained in 130 CMR 456.000.

Pooled Trust - trust that meets all the following criteria as determined by the MassHealth agency. (1) The trust was created by a nonprofit organization. (2) A separate account is maintained for each beneficiary of the trust, but the assets of the trust are pooled for investment and management purposes. (3) The account in a pooled trust was created for the sole benefit of the individual by the individual, the individual's parents or grandparents, or by a legal guardian or court acting on behalf of the individual. (4) The trust provides that the Commonwealth of Massachusetts will receive amounts remaining in the account upon the death of the individual up to the amount paid by the MassHealth agency for services to the individual. The trust may retain reasonable and appropriate amounts as determined by the MassHealth agency. (5) The individual was disabled at the time his or her account in the pool was created.

Promissory Note - a written promise to pay another.

Quality Control - a system of continuing review to measure the accuracy of eligibility decisions.

Reapplication - the MassHealth agency's reopening of the application process when the application has been denied pursuant to 130 CMR 516.001(D).

Redetermination - a review of a member's circumstances to establish whether he or she remains eligible for benefits.

Resources - all income and assets owned by the individual or the spouse. For the purposes of determining eligibility, resources include income and assets to which the individual or the spouse is or would be entitled whether or not they are actually received. This term has the same meaning as "assets" as defined in 42 U.S.C. 1396p(e)(1).

Reverse Mortgage - a loan on the equity value of a house paid in installments by a lender to the homeowner who is aged 60 or older.

Revocable Trust -a trust whose terms allow the grantor to take action to regain any of the property or funds in the trust.

Senior Medical Benefit Request (SMBR) — a form prescribed by the MassHealth agency to be completed by the applicant or eligibility representative, and submitted to the MassHealth agency as a request for MassHealth benefits.

12/29/06 (Effective 1/1/07) 130 CMR - 775 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 130 CMR: DIVISION OF MEDICAL ASSISTANCE

515.001: continued

Skilled-nursing Services — the planning, provision, and evaluation of goal-oriented nursing care that requires specialized knowledge and skills acquired under the established curriculum of a school of nursing approved by a board of registration in nursing. Such services include only those services that must be provided by a registered nurse, a licensed practical nurse, or a licensed vocational nurse.

Special-needs Trust — a special-needs trust is one that meets all the following criteria as determined by the MassHealth agency. (1) The trust was created for a disabled individual under the age of 65. (2) The trust was created for the sole benefit of the individual by the individual's parent, grandparent, legal guardian, or a court. (3) The trust provides that the Commonwealth of Massachusetts will receive amounts remaining in the account upon the death of the individual up to the amount paid by the MassHealth agency for services to the individual. (4) When the member has lived in more than one state, the trust must provide that the funds remaining upon the death of the member are distributed to each state in which the member received Medicaid based on each state’s proportionate share of the total amount of Medicaid benefits paid by all states on the member’s behalf.

Spouse - a person married to the applicant or member according to the laws of the Commonwealth of Massachusetts. Effective for applications and eligibility review forms received on or after October 31, 2008, notwithstanding the unavailability of federal financial participation, no person who is recognized as a spouse under the laws of the Commonwealth will be denied benefits that are otherwise available under M.G.L. c. 118E due to the provisions of 1 U.S.C. § 7 or any other federal nonrecognition of spouses of the same gender. If a member's eligibility changes as the result of updated or corrected information about marital status, the change in eligibility will be effective as of the date the MassHealth agency receives the new information, but no sooner than October 31, 2008.

Stream of Income — income received on a regular basis.

Substantial Gainful Activity — generally, employment that provides a set amount of gross earnings as determined by the Social Security Administration (SSA) under Title XVI of the Social Security Act.

Supplemental Security Income (SSI) Program — a program that provides financial assistance to needy persons who are aged 65 or older, blind, or disabled. This program is established under Title XVI of the Social Security Act and is administered by the Social Security Administration. Such persons automatically receive MassHealth.

Third Party — any individual, entity, or program that is or may be responsible to pay all or part of the expenditures for medical benefits.

Trust — a legal device satisfying the requirements of state law that places the legal control of property or funds with a trustee. It also includes, but is not limited to, any legal instrument, device, or arrangement that is similar to a trust, including transfers of property by a grantor to an individual or a legal entity with fiduciary obligations so that the property is held, managed, or administered for the benefit of the grantor or others. Such arrangements include, but are not limited to, escrow accounts, pension funds, and similar devices as managed by an individual or entity with fiduciary obligations.

Trustee — any individual or legal entity that holds or manages a trust.

Uncompensated Value — the difference between the fair-market value of the resource or interest in the resource at the time of transfer less any outstanding debts and the actual amount the individual received for the resource. The MassHealth agency uses the uncompensated value in the calculation of the period of ineligibility.

5/1/09 (Effective 10/31/08) 776 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 130 CMR: DIVISION OF MEDICAL ASSISTANCE

515.002: Introduction to MassHealth

(A) The MassHealth agency is responsible for the administration and delivery of health-care services to low- and moderate-income individual and couples.

(B) 130 CMR 515.000 through 522.000 provide the requirements for noninstitutionalized persons aged 65 or older, institutionalized persons of any age, persons who would be institutionalized without community-based services, as defined by Title XIX of the Social Security Act and authorized by M.G.L. c. 118E, and certain Medicare beneficiaries. 130 CMR 515.000 through 522.000 is intended to conform to all applicable federal and state laws and will be interpreted accordingly.

5/1/09 (Effective 10/31/08) 776.1 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 130 CMR: DIVISION OF MEDICAL ASSISTANCE

NON-TEXT PAGE

5/1/09 (Effective 10/31/08) 776.2 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 130 CMR: DIVISION OF MEDICAL ASSISTANCE

515.002: continued

(C) 130 CMR 501.000 through 508.000 provide the MassHealth requirements for coverage of noninstitutionalized low- and moderate-income persons under age 65, as prescribed under an 1115 Medicaid Research and Demonstration Waiver.

515.003: MassHealth Coverage Types

(A) The MassHealth agency provides access to health care by determining eligibility for the coverage types that provide the most comprehensive benefits for a person who may be eligible. Generally, members are provided services on a fee-for-service basis as defined at 130 CMR 515.001.

(B) MassHealth offers the following types of coverage: MassHealth Standard, MassHealth Essential, MassHealth Limited, MassHealth Senior Buy-In, and MassHealth Buy-In. The type of coverage for which a person is eligible is based on the person's or the spouse's income and assets, as described in 130 CMR 519.000 and 520.000, and immigration status, as described in 130 CMR 518.000.

(C) The MassHealth agency may limit the number of people who can be enrolled in MassHealth Essential. When the MassHealth agency imposes such a limit, no new applicants aged 65 or older who are subject to these limitations will be added to MassHealth Essential, and current MassHealth Essential members who have lost eligibility for more than 30 days for any reason will not be allowed to reenroll until the MassHealth agency is able to reopen enrollment for adults. (1) Applicants who cannot be enrolled under MassHealth Essential pursuant to 130 CMR 515.003(C), will be placed on a waiting list when their eligibility has been determined. When the MassHealth agency is able to open enrollment for adult applicants, the applications will be processed in the order they were placed on the waiting list. (2) Medical coverage for MassHealth Essential for persons enrolled from a waiting list will begin on the date that the application or new determination is processed from the waiting list.

515.004: Administration of MassHealth

(A) MassHealth. MassHealth formulates and determines eligibility for all MassHealth coverage types.

(B) Other Agencies. (1) Department of Transitional Assistance (DTA). The Department of Transitional Assistance administers the Emergency Aid for the Elderly, Disabled and Children (EAEDC) Program. Persons receiving EAEDC who are 65 or older are automatically eligible for MassHealth Standard coverage, if they meet the citizen and immigration rules for MassHealth Standard at 130 CMR 518.002. Aliens with special status described in 130 CMR 518.002(D) who are receiving EAEDC who are aged 65 or older are automatically eligible for MassHealth Essential coverage pursuant to 130 CMR 515.003(C). (2) Social Security Administration (SSA). District Social Security offices administer the Supplemental Security Income (SSI) Program and determine the eligibility of persons aged 65 or older. Persons receiving SSI who are 65 or older are automatically eligible for MassHealth Standard coverage.

515.005: Receiving Public Assistance from Another State

Persons who are receiving public assistance from another state are not eligible for MassHealth.

5/1/09 (Effective 10/31/08) 777 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. 130 CMR: DIVISION OF MEDICAL ASSISTANCE

515.006: Massachusetts Commission for the Blind

Persons who are blind and aged 65 or older or institutionalized may apply for MassHealth with the Massachusetts Commission for the Blind (MCB).

515.007: Rights of Applicants and Members

The policies of MassHealth are administered in accordance with federal and state law. Applicants and members must be informed of their rights and responsibilities with respect to MassHealth.

(A) Right to Nondiscrimination and Equal Treatment. The Division of Medical Assistance does not discriminate on the basis of race, color, sex, sexual orientation, religion, national origin, disability, or age in admission or access to, or treatment or employment in, its programs or activities. Grievance procedures for resolution of discrimination complaints are administered and applied by the Division’s Affirmative Action Office.

(B) Right to Confidentiality. The confidentiality of information obtained by the Division during the MassHealth eligibility process is protected in accordance with federal and state regulations. The use and disclosure of information concerning applicants, members, and legally liable third parties is restricted to purposes directly connected to the administration of MassHealth as governed by state and federal law.

(C) Right to Timely Provision of Benefits. Eligible applicants and members have the right to the timely provision of benefits, as defined in 130 CMR 516.000.

(D) Right to Information. Persons who inquire about MassHealth, either orally or through a written request, have the right to receive information about medical benefits, coverage type requirements, and their rights and responsibilities as applicants and members of MassHealth.

(E) Right to Apply. Any person, individually or through an eligibility representative, has the right, and must be afforded the opportunity without delay, to apply for MassHealth.

(F) Right to be Assisted by Others. (1) The applicant or member has the right to be accompanied and represented by an eligibility representative during the eligibility process, and by an appeal representative during the appeal process. The Division must provide copies of all eligibility notices to an applicant’s or member’s eligibility representative, and must provide copies of all documents related to the fair hearing process to an applicant’s or member’s appeal representative. (2) An application for MassHealth may be filed by an eligibility representative on behalf of a deceased person. (3) An appeal on behalf of a deceased person may be filed by an appeal representative, as defined in 130 CMR 515.001.

(G) Right to Inspect the MassHealth Case File. The applicant or member has the right to inspect information in his or her MassHealth case file and contest the accuracy of the information.

(H) Right to Appeal. The applicant or member has the right to appeal and request a fair hearing as the result of any adverse action or inaction taken by MassHealth. The request will not be granted if the sole issue is a federal or state law requiring an automatic change adversely affecting members.

(I) Right to Interpreter Services. MassHealth will inform applicants and members of the availability of interpreter services. Unless the applicant or member chooses to provide his or her own interpreter services, MassHealth will provide either telephonic or other interpreter services whenever: (1) the applicant or member who is seeking assistance from MassHealth has limited English proficiency or sensory impairment and requests interpreter services; or (2) MassHealth determines such services are necessary.

10/8/04 (Effective 6/1/04) 130 CMR - 778 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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 # 832

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 130 CMR 519.000

CHAPTER TITLE: MassHealth: Coverage Types

AGENCY: Division of Medical Assistance

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. The regulations are being revised to make the cost-of-living adjustments for 2008.

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

AGENCY CONTACT: Sharon Johnson, MassHealth Publications PHONE: 617-210-5650

ADDRESS: 600 Washington Street, Boston, MA 02111

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

EMERGENCY ADOPTION - if this regulation is adopted as an emergency, state the nature of the emergency. These regulations are being adopted as emergency regulations to comply with federal law.

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: 03/18/09 Executive Office of Communities and Development: 04/17/09 Massachusetts Municipal Association: 04/17/09

Date of public hearing or comment period: N/A

For the first five years:

No fiscal effect: There are no fiscal effects.

N/A

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

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: Apr 9 2009

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1129 DATE: 05/01/2009

EFFECTIVE DATE: 01/01/2008

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

04/15/2009 mrs

130 CMR 519.000: MASSHEALTH: COVERAGE TYPES

Section

519.001: Introduction 519.002: MassHealth Standard 519.003: Pickle Amendment Cases 519.004: Disabled Adult Children 519.005: Community Residents Aged 65 and Older 519.006: Long-term-care Residents 519.007: Individuals who Would be Institutionalized 519.009: MassHealth Limited 519.010: MassHealth Senior Buy-In 519.011: MassHealth Buy-In 519.012: MassHealth CommonHealth 519.013: MassHealth Essential

519.001: Introduction

(A) Categorical Requirements and Financial Standards. 130 CMR 519.000 explains the categorical requirements and financial standards that must be met to qualify for a MassHealth coverage type. The rules of financial responsibility and the calculation of financial eligibility are detailed in 130 CMR 520.000.

(B) MassHealth Coverage Types. The MassHealth coverage types available to individuals aged 65 and older, institutionalized individuals, and those who would be institutionalized without community-based services are the following: (1) MassHealth Standard; (2) MassHealth Limited; (3) MassHealth Senior Buy-In; (4) MassHealth Buy-In; (5) MassHealth CommonHealth; and (6) MassHealth Essential.

(C) Determining Eligibility. MassHealth determines eligibility for the most comprehensive coverage available to the applicant, although the applicant has the right to choose to have eligibility determined only for Senior Buy-In or Buy-In coverage. If no choice is made by the applicant, MassHealth determines eligibility for all available coverage types.

519.002: MassHealth Standard

(A) Overview. (1) 130 CMR 519.002 through 519.007 contain the categorical requirements and asset and income standards for MassHealth Standard, which provides coverage for individuals aged 65 and older, institutionalized individuals, and those who would be institutionalized without community-based services. (2) Individuals eligible for MassHealth Standard are eligible for medical benefits on a fee- for-service basis as defined in 130 CMR 515.001. The medical benefits are described in 130 CMR 450.105(A). (3) The begin date of medical coverage for MassHealth Standard is established in accordance with 130 CMR 516.005. (4) MassHealth pays the following costs for members eligible for MassHealth Standard who meet the requirements of 130 CMR 519.010(A)(1) and (2). Coverage generally begins on the first day of the month following the date of MassHealth’s eligibility determination. (a) the full cost of the Medicare Part B premiums for members with countable income that is less than or equal to 120% of the federal poverty level; (b) the cost of Medicare Part A premiums for adult members of MassHealth Standard who are entitled to Medicare Part A with a countable income that is less than or equal to 100% of the federal poverty level; and (c) the deductibles and coinsurance under Medicare Parts A and B for members with a countable income that is less than or equal to 100% of the federal poverty level.

(B) Automatic Eligibility for SSI Recipients. (1) Individuals described in 130 CMR 519.002(A)(1) who meet basic, categorical, and financial requirements under the Supplemental Security Income (SSI) program are automatically eligible to receive MassHealth Standard coverage.

12/12/08 (Effective 10/2/07) 130 CMR - 789 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 130 CMR: DIVISION OF MEDICAL ASSISTANCE

519.002: continued

(2) Eligibility for retroactive coverage must be established by MassHealth in accordance with 130 CMR 516.005.

(C) Extended Eligibility for SSI Recipients. An individual whose SSI assistance has been terminated, and who is determined to be potentially eligible for MassHealth, continues to receive MassHealth Standard coverage until a determination of ineligibility is made by MassHealth.

(D) Automatic Eligibility for EAEDC Recipients 65 Years of Age and Older. (1) Individuals 65 years of age and older who meet the requirements of the EAEDC program administered by DTA and who are United States citizens or qualified aliens, as described in 130 CMR 518.002, are automatically eligible for MassHealth Standard benefits. (2) Individuals 65 years of age and older who meet the requirements of the EAEDC program administered by DTA and who are aliens with special status, as described in 130 CMR 518.002(D), are automatically eligible for MassHealth Essential benefits under 130 CMR 519.013.

519.003: Pickle Amendment Cases

(A) Eligibility Requirements. Under the Pickle Amendment, former SSI recipients whose income exceeds 100% of the federal poverty level are eligible for MassHealth Standard provided they: (1) or their spouse or both are receiving RSDI benefits; (2) were eligible for and received SSI benefits after April 1977; (3) would be currently eligible for SSI, in accordance with SSI payment standards at 130 CMR 519.003(B), if the incremental amount of RSDI cost-of-living increases paid to them since the last month subsequent to April 1977, for which they were both eligible for and receiving SSI and entitled to (but not necessarily receiving) RSDI were deducted from the current amount of RSDI benefits. Cost-of-living increases referred to in 130 CMR 519.003 include increases received both by the applicant or member or by the spouse. The spouse need not be otherwise eligible for SSI; and (4) have countable assets that are $2,000 or less for an individual, and $3,000 or less for a married couple.

(B) SSI Payment Standards. The RSDI amount, as described in 130 CMR 519.003(A)(3), and any other countable-income amount, as defined in 130 CMR 520.009, of the individual or couple is compared to the SSI payment standards to determine Pickle eligibility.

MASSACHUSETTS SSI PAYMENT STANDARDS LIVING ARRANGEMENT CATEGORY

ABCEG

Full Cost Shared Household Licensed of Living Living of Rest Assisted Expenses Expenses Another Home Living Individual Aged $ 765.82 676.26 529.03 930.00 1,091.00 Disabled 751.39 667.40 512.25 930.00 1,091.00 Blind 786.74 786.74 786.74 786.74 1,091.00 Member of a Couple Aged $ 578.86 578.86 426.57 930.00 818.50 Disabled 568.03 568.03 415.76 930.00 818.50 Blind 786.74 786.74 786.74 786.74 818.50 NOTE: The SSI federal benefit rate (FBR) for an individual is $637.00. NOTE: The personal-needs allowance in licensed rest homes is $72.80. The personal- needs allowance in nursing facilities and chronic-disease hospitals is $72.80.

5/1/09 (Effective 1/1/08) 790 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 # 833

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 130 CMR 520.000

CHAPTER TITLE: MassHealth: Financial Eligibility

AGENCY: Division of Medical Assistance

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. The regulations are being revised to make the cost-of-living adjustments for 2008. Additionally, amendments to the regulations about the federal-poverty level revise the date of the annual change from a specific month to “annually.”

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

AGENCY CONTACT: Sharon Johnson, MassHealth Publications PHONE: 617-210-5650

ADDRESS: 600 Washington Street, Boston, MA 02111

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

EMERGENCY ADOPTION - if this regulation is adopted as an emergency, state the nature of the emergency. These regulations are being adopted as emergency regulations to comply with federal law.

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: 03/18/09 Executive Office of Communities and Development: 04/17/09 Massachusetts Municipal Association: 04/17/09

Date of public hearing or comment period: N/A

For the first five years:

No fiscal effect: There are no fiscal effects.

N/A

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

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: Apr 9 2009

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1129 DATE: 05/01/2009

EFFECTIVE DATE: 01/01/2008

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

04/15/2009 mrs

520.008: Noncountable Assets

Noncountable assets are those assets exempt from consideration when determining the value of assets. In addition to the noncountable assets described in 130 CMR 520.006 and 520.007, the following assets are noncountable.

(A) The Home. The home of the applicant or member and the spouse and any land appertaining to the home, as determined by the MassHealth agency, if located in Massachusetts and used as the principal place of residence, are considered noncountable assets, except when the equity interest in the home exceeds the amount described in 130 CMR 520.007(G)(3). The home is subject to the lien rules at 130 CMR 515.012. If the home is placed in a trust or in an arrangement similar to a trust, the MassHealth agency will apply the trust rules at 130 CMR 520.021 through 520.024.

(B) Assets of an SSI Recipient. The assets of an SSI recipient are exempt from consideration as countable assets.

(C) Proceeds from the Sale of a Home. The proceeds from the sale of a home used by the applicant or member as the principal place of residence, provided the proceeds are used to purchase another home to be used as the principal place of residence, are considered noncountable assets. Such proceeds are exempt from consideration as countable assets for the three calendar months following the month of receipt. The MassHealth agency places a lien before the death of the member against any real estate in which the member has a legal interest in accordance with 130 CMR 515.012.

(D) Business and Nonbusiness Property. Business and nonbusiness property essential to self- support and property excluded under an SSA-approved plan for self-support are considered noncountable assets.

(E) Any Loan or Grant. Any loan or grant including, but not limited to, scholarships, the terms of which preclude their use for current maintenance, is considered a noncountable asset.

(F) Funeral or Burial Arrangements. (1) The following funeral or burial arrangements for the applicant, member, or spouse are considered noncountable assets: (a) any burial space, including any burial space for any immediate family member; (b) one of the following: 1. a separately identifiable amount not to exceed $1,500 expressly reserved for funeral and burial expenses; or 2. life-insurance policies designated exclusively for funeral and burial expenses with a total face value not to exceed $1,500; (c) the cash-surrender value of burial insurance; and (d) prepaid irrevocable burial contracts or irrevocable trust accounts designated for funeral and burial expense. (2) Appreciated value or interest earned or accrued and left to accumulate on any contracts, accounts, or life insurance is also noncountable. If the applicant, member, or spouse uses any of these assets, including the interest accrued, for other than funeral or burial arrangements of the applicant, member, or spouse, the MassHealth agency considers the asset available and countable under the provisions of 130 CMR 520.007, 520.018, and 520.019. (3) The applicant, member, or spouse has the right to establish a burial arrangement or change the designation of his or her funds to a burial arrangement described in 130 CMR 520.008(F). If such arrangement is made within 60 days after the date that the applicant or member was notified of his or her right to do so, then the Division considers the arrangement to have been in existence on the first day of the third month before the application.

(G) Veterans' Payments. Veterans' payments for aid and attendance, unreimbursed medical expenses, housebound benefits, and enhanced benefits retained after the month of receipt, provided these payments are separately identifiable, are considered noncountable assets. Appreciated value and earned interest are also noncountable.

5/16/08 (Effective 2/11/06) 130 CMR - 807 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 130 CMR: DIVISION OF MEDICAL ASSISTANCE

520.008: continued

(H) Special-Needs Trust. A special-needs trust in accordance with the trust rules at 130 CMR 520.021 through 520.024 is considered a noncountable asset.

(I) Pooled Trust. A pooled trust in accordance with the trust rules at 130 CMR 520.021 through 520.024 is considered a noncountable asset.

(J) ICF/MR Trust. A trust established before April 7, 1986, solely for the benefit of a resident of an intermediate-care facility for the mentally retarded (ICF/MR) is considered a noncountable asset.

(K) Other Assets. Any other assets considered noncountable for Title XIX eligibility purposes is considered a noncountable asset.

520.009: Countable-income Amount

(A) Overview. (1) An individual’s and the spouse's gross earned and unearned income less certain business expenses and standard income deductions is referred to as the countable-income amount. In determining gross monthly income, the Division multiplies the average weekly income by 4.333 unless the income is monthly. (2) For community residents, the countable-income amount is compared to the applicable income standard to determine the individual's financial eligibility. (3) For institutionalized individuals, specific deductions described in 130 CMR 520.026 are applied against the individual's countable-income amount to determine the patient-paid amount. (4) The types of income that are considered in the determination of eligibility are described in 130 CMR 520.009, 520.018, 520.019, and 520.021 through 520.024. These include income to which the applicant, member, or spouse would be entitled whether or not actually received when failure to receive such income results from the action or inaction of the applicant, member, spouse, or person acting on his or her behalf. In determining whether or not failure to receive such income is reasonably considered to result from such action or inaction, the Division will consider the specific circumstances involved.

(B) MassHealth Income Standards. Generally, financial eligibility is based on a percentage of the federal poverty level. The monthly federal-poverty-level standards are determined according to annual standards published in the Federal Register. The MassHealth agency adjusts these standards annually using the following formula. (1) Divide the annual federal-poverty-level income standard as it appears in the Federal Register by 12. (2) Multiply the unrounded monthly income standard by the applicable federal-poverty- level percentage. (3) Round up to the next whole dollar to arrive at the monthly-income standards.

(C) Types of Earned Income. Earned income is the total amount of compensation received for work or services performed. Earned income includes wages, self-employment income, and payment from roomers and boarders. (1) Self-employment Income. Gross income for the self-employed is the total amount of income listed on the most recent tax return before adjustments to income are made. A real- estate dealer, if engaged in the business of selling real estate to customers for profit, is considered to have self-employment earned income. Income from property that is owned by an individual who is not a real-estate dealer or is owned by the individual's spouse is considered unearned income. (2) Income from Roomers and Boarders. Payment for room and meals received from anyone other than the spouse of the applicant or member is countable earned income. Gross income from roomers and boarders is the amount received for the room and board, less business expenses as described at 130 CMR 520.010(B). (3) Verification of Earned Income. The applicant or member must verify gross earned income. However, if he or she is applying solely for MassHealth Buy-In, as described at 130 CMR 519.011(B), verification is required only upon the request of the MassHealth agency. Verifications include:

5/1/09 (Effective 1/1/08) 808 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. 130 CMR: DIVISION OF MEDICAL ASSISTANCE

520.014: continued

(B) Deductions that may be used to determine the amount owed to the long-term-care facility (patient-paid amount) are described at 130 CMR 520.026.

520.015: Noncountable Income

The following types of income are not considered in determining the financial eligibility of the applicant or member:

(A) the income of any individual who is a recipient of EAEDC or SSI;

(B) the portion of the income that is disregarded: (1) for disabled adult children according to 130 CMR 519.004; and (2) under the Pickle Amendment according to 130 CMR 519.003;

(D) money received from a loan secured by the equity in the home of an individual who is aged 60 or older (reverse mortgage);

(E) veterans' aid and attendance benefits, unreimbursed medical expenses, housebound benefits, enhanced benefits ($90 Veterans' Administration pension to long-term-care-facility residents, including veterans and their childless surviving spouses who live in a state veterans' home), or veterans’ benefits that are based on need and are provided by municipalities to resident veterans;

(F) the amount of the increase due to a social security cost-of-living adjustment (COLA), if the amount of such increase can be verified, until the subsequent federal-poverty-level adjustment for applicants and members who are community residents;

(G) retroactive RSDI and SSI benefit payments; and

(H) any other income considered noncountable under Title XIX.

520.016: Long-term Care: Treatment of Assets

130 CMR 520.016 describes the treatment of countable assets when one member of a couple is institutionalized, the post-eligibility transfer of assets, and the allowable income deductions for applicants and members who are residents of a long-term-care facility.

(A) Institutionalized Individuals. The total value of assets owned by an institutionalized single individual or by a member of an institutionalized couple must not exceed $2,000.

(B) Treatment of a Married Couple’s Assets When One Spouse Is Institutionalized. (1) Assessment. (a) Requirement. The MassHealth agency completes an assessment of the total value of a couple's combined countable assets and computes the community spouse’s asset allowance as of the date of the beginning of the most recent continuous period of institutionalization of one spouse. (b) Right to Request an Assessment. When one spouse has entered a medical institution and is expected to remain institutionalized for at least 30 days, either spouse may request the MassHealth agency to make this assessment, even if the institutionalized spouse is not applying for MassHealth Standard at that time. The period of institutionalization must be continuous and expected to last for at least 30 days. (c) Right to Appeal. The MassHealth agency must give each spouse a copy of the assessment and the documentation used to make such assessment. Each spouse must be notified that he or she has the right to appeal the determination of countable assets and the community spouse's asset allowance when the institutionalized spouse (or eligibility representative) applies for MassHealth Standard.

5/4/07 (Effective 1/15/07) 130 CMR - 811 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 130 CMR: DIVISION OF MEDICAL ASSISTANCE

520.016: continued

(2) Determination of Eligibility for the Institutionalized Spouse. At the time that the institutionalized spouse applies for MassHealth Standard, the MassHealth agency must determine the couple's current total countable assets, regardless of the form of ownership between the couple, and the amount of assets allowed for the community spouse as follows. The community spouse’s asset allowance is not considered available to the institutionalized spouse when determining the institutionalized spouse’s eligibility for MassHealth Standard. (a) Deduct the community spouse’s asset allowance, based on countable assets as of the date of the beginning of the most recent continuous period of institutionalization of the institutionalized spouse, from the remaining assets. The community spouse’s asset allowance is the greatest of the following amounts: 1. the combined total countable assets of the institutionalized spouse and the community spouse, not to exceed $104,400; 2. a court-ordered amount; or 3. an amount determined after a fair hearing in accordance with 130 CMR 520.017. (b) Compare the amount of the remaining assets to the MassHealth asset standard for one person, which is $2,000. When the amount of the remaining assets is equal to or below $2,000, the institutionalized spouse has met the asset test of eligibility. (3) Post-eligibility Transfer of Assets. (a) To meet the needs of the community spouse and to allow the continuing eligibility of the institutionalized spouse, the MassHealth agency allows the institutionalized spouse, after he or she has been determined eligible for MassHealth Standard, to transfer assets to or for the sole benefit of the community spouse in accordance with 130 CMR 520.016(B)(1) and (2). (b) The institutionalized spouse must transfer any of his or her assets that are part of the community spouse’s asset allowance no later than 90 days immediately after the date of the notice of approval for MassHealth Standard. During this 90-day period, the MassHealth agency 1. will continue to exclude these assets in the determination of continuing eligibility; and 2. will not apply the transfer rules in 130 CMR 520.018 and 520.019 to the assets transferred to the community spouse. (c) The MassHealth agency may extend the 90-day period if any of the following conditions exist: 1. the court is involved in assigning the couple’s property through support actions; 2. an appeal of the asset allowance has been filed with the Board of Hearings; or 3. the condition of the institutionalized spouse requires the appointment of a conservator or guardian to act on his or her behalf. (d) The amount of the transferred assets added to the assets owned by the community spouse cannot exceed the community spouse’s asset allowance as defined in 130 CMR 520.016(B)(2). (e) After the initial 90-day period or the extension is over, the MassHealth agency counts all assets that remain in the institutionalized spouse's name in determining his or her eligibility. (4) Retroactive Eligibility. In determining the eligibility of the institutionalized spouse for the three-month retroactive period before application in a continuous period of institutionalization, the MassHealth agency deducts the amount defined in 130 CMR 520.016(B)(2) from the couple's total countable assets. (5) Eligibility of the Community Spouse. The amount defined in 130 CMR 520.016(B)(2) must be counted in determining the community spouse's eligibility for MassHealth.

520.017: Right to Appeal the Asset Allowance or Minimum-monthly-maintenance-needs Allowance

(A) Request for an Adjustment to the Community Spouse's Asset Allowance. After the institutionalized spouse has applied for MassHealth Standard and has received a notice of approval or denial for MassHealth Standard, either spouse may appeal to the Board of Hearings to request an adjustment to the asset allowance. The purpose of the adjustment is to generate sufficient income, as determined by the MassHealth agency, for the community spouse to remain in the community.

5/1/09 (Effective 1/1/08) 812 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. 130 CMR: DIVISION OF MEDICAL ASSISTANCE

520.026: continued

(2) The maximum-monthly-maintenance-needs allowance is $2,610.00 per month, unless it has been increased as the result of a fair-hearing decision based on exceptional circumstances in accordance with 130 CMR 520.017(D). (3) If the institutionalized individual is subject to a court order for the support of the community spouse, the court-ordered amount of support must be used as the spousal- maintenance needs deduction when it exceeds the spousal-maintenance-needs deduction calculated according to 130 CMR 520.026(B) or resulting from a fair hearing.

(C) Deductions for Familv-maintenance Needs. (1) The MassHealth agency allows a deduction from the income of a long-terro-care resident to provide for the maintenance needs of the following family members if they live with the community spouse: (a) a minor child - a child under age 21 of either member of the couple; (b) a dependent child - a child over age 21 who is claimed as a dependent by either spouse for income-tax purposes under the Internal Revenue Code; (c) a dependent parent - a parent of either spouse who lives with the community spouse and who is claimed as a dependent by either spouse for income-tax purposes under the Internal Revenue Code; and (d) a dependent sibling - a brother or sister of either spouse (including a half-brother or half-sister) who lives with the community spouse and who is claimed as a dependent by either spouse for income-tax purposes under the Internal Revenue Code. (2) The deduction for family-maintenance needs is a of the amount by which the federal standard maintenance allowance exceeds the monthly gross income of the family member. The federal standard maintenance allowance is $1,750.

(D) Deductions for Maintenance of a Former Home. (1) The MassHealth agency allows a deduction for maintenance of a home when a competent medical authority certifies in writing that a single individual, with no eligible dependents in the home, is likely to return home within six months after the month of admission. This income deduction terminates at the end of the sixth month after the month of admission regardless of the prognosis to return home at that time. (2) The amount deducted is the 100% federal-poverty-level income standard for one person.

(E) Deductions for Health-care Coverage and Other Incurred Expenses. (1) Health-Insurance Premiums or Membership Costs. The MassHealth agency allows a deduction for current health-insurance premiums or membership costs when payments are made directly to an insurer or a managed-care organization. (2) Incurred Expenses. (a) After the applicant is approved for MassHealth, the MassHealth agency wi1l allow deductions for the applicant's necessary medical and remedial-care expenses. These expenses must not be payable by a third party. These expenses must be for medical or remedial-care services recognized under state law but not covered by MassHealth. (b) These expenses must be within reasonable limits as established by the MassHealth agency. The MassHealth agency considers expenses to be within reasonable limits provided they are: 1. not covered by the MassHealth per diem rate paid to the long-term-care facility; and 2. certified by a treating physician or other medical provider as being medically necessary. (3) Guardianship Fees and Related Expenses. The Division allows deductions from a member's income for guardianship fees and related expenses when a guardian is essential to enable an incompetent applicant or member to gain access to or consent to medical treatment, as provided below. (a) Expenses Related to the Appointment of a Guardian. 1. The Division allows a deduction for fees and expenses related to the appointment of a guardian if the guardian's appointment is made for the purpose of: a. assisting an incompetent applicant to gain access to medical treatment through MassHealth; or b. consenting to medical treatment on behalf of a MassHealth member.

5/1/09 (Effective 1/1/08) 818.5 EMERGENCY The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 130 CMR: DIVISION OF MEDICAL ASSISTANCE

520.026: continued

2. The Division allows a deduction for reasonable costs, including attorney fees, as approved by the probate court, not to exceed $500 for the appointment, except as provided in 130 CMR 520.026(E)(3)(a)3. 3. The Division may allow a deduction, as approved by the probate court, of up to $750 for the appointment when the medical issues before the court are more complex. An example of such complexities includes providing evidence of the need for anti-psychotic medications. 4. The deduction is made from the member’s monthly patient-paid amount over a 12-month period. (b) Guardianship Services Related to the Application Process. 1. The Division allows a deduction for fees for guardianship services related to the MassHealth application process when the guardian has been appointed by the probate court to assist an incompetent person with the MassHealth application when the securing of MassHealth benefits is essential for the member to gain access to medical treatment. 2. The Division allows a deduction for reasonable costs related to the MassHealth application process, as approved by the probate court, not to exceed $500. In cases where an administrative hearing is held, the total deduction may not exceed $750 for the costs related to the application process and hearing. 3. The deduction is made from the member’s monthly patient-paid amount over a 12-month period. (c) Guardianship Services Related to the Redetermination Process. 1. The Division allows a deduction for fees for guardianship services related to the MassHealth redetermination process when the guardian has been appointed by the probate court to assist an incompetent person with securing continued access to medical treatment. 2. The Division allows a deduction for reasonable costs related to the MassHealth redetermination process, as approved by the probate court, not to exceed $250. In cases where an administrative hearing is held, the total deduction may not exceed $375 for the costs related to the redetermination process and hearing. 3. The deduction is made from the member’s monthly patient-paid amount over a 12-month period. (d) Monthly Guardianship Services. 1. The Division allows a deduction for monthly fees for a guardian to the extent the guardian’s services are essential to consent to medical treatment on behalf of the member. 2. The Division allows a deduction, as approved by the probate court, for up to 24 hours per year at a maximum of $50 per hour for guardianship services. 3. The Division allows the deduction only if the guardianship services provided include the attendance and participation of the guardian in quarterly care meetings held by the nursing facility where the member lives. 4. The Division allows this deduction only if each year the guardian submits to the Division a copy of the affidavit that describes the guardianship services provided to the member. 5. The deduction is made from the member’s monthly patient-paid amount over a 12-month period. (e) Expenses Incurred by the Guardian in Connection with Monthly Guardianship Services. 1. The Division allows a deduction up to, but not exceeding, the member’s monthly patient-paid amount for filing and court fees incurred by the guardian in connection with monthly guardianship services that are essential to consent to medical treatment for the member. 2. If monthly guardianship services are provided, these expenses are included in the affidavit of services required under 130 CMR 520.026(E)(3)(d)4. 3. The deduction is made from the member’s monthly patient-paid amount in the month following receipt of the affidavit of services.

9/22/06 (Effective 2/9/06) 130 CMR - 818.6 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 # 69

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 330 CMR 29.00

CHAPTER TITLE: Dairy Farmer Tax Credit

AGENCY: Department of Food & Agriculture

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. 330 CMR 29.00 implements M.G.L. c. 62 §§ 6(o)(1)-(4), and M.G.L. c. 63 §38Z, which provides for a tax credit to dairy farmers. The purpose of 330 CMR 29.00 is to provide revenue stability to dairy farmers when milk prices paid to farmers fall dramatically.

REGULATORY AUTHORITY: 330 CMR

AGENCY CONTACT: Dr. William Gillmeister PHONE: 617-626-1811

ADDRESS: 251 Causeway Street, Suite 500, 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. This is a refiling of the 330 CMR 29.00 Emergency Regulations that were initially filed on February 20, 2009 and that are set to expire on May 20, 2009.

Date of public hearing or comment period: May 12 & 14, 2009

For the first five years: N/A

No fiscal effect: N/A

N/A

CODE OF MASSACHUSETTS REGULATIONS INDEX - List key subjects that are relevant to this regulation: Dairy, Tax Credit.

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: Apr 14 2009

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1129 DATE: 05/01/2009

EFFECTIVE DATE: 02/20/2009

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

04/14/2009 kr

330 CMR 29.00: DAIRY FARMER TAX CREDIT PROGRAM

Section

29.01: Scope and Purpose 29.02: Definitions 29.03: Dairy Farmer Tax Credit Program Established 29.04: Dairy Farmer Eligibility 29.05: Certification of Eligibility and Tax Credit 29.06: Trigger Price 29.07: Farm Price 29.08: Tax Credit Calculation and Transmittal to the Department of Revenue 29.09: Application of the Tax Credit to an Eligible Taxpayer's Tax Return

29.01: Scope and Purpose

330 CMR 29.00 implements M.G.L. c. 62, §§ 6(o)(1) through (4), and M.G.L. c. 63 § 38Z, which provides for a tax credit to dairy farmers. The purpose of 330 CMR 29.00 is to provide revenue stability to dairy farmers when milk prices paid to farmers fall dramatically.

29.02: Definitions

As used in 330 CMR 29.00:

Annual Milk Production means the sum of the monthly milk production reported by an Eligible Taxpayer for the calendar year pursuant to 330 CMR 29.04(3).

Butterfat Price means Butterfat Price as announced each month by the Northeast Federal Milk Marketing Order for Boston, MA.

Butterfat Test means the average Butterfat Test as announced each month by the Northeast Federal Milk Marketing Order for Boston, MA.

Certificate of Registration means the certificate of registration issued by the Commissioner pursuant to M.G.L. c. 94, § 16A.

Commissioner means the Commissioner of the Department of Agricultural Resources.

Dairy Farmer Tax Credit means an amount calculated by multiplying the Dairy Farmer Tax Credit Rate by the number of hundredweights of the Annual Milk Production of an Eligible Taxpayer as reported under 330 CMR 29.04(3).

Dairy Farmer Tax Credit Rate means a value calculated by dividing the Total Tax Credit by the number of hundredweights of milk in the Total Milk Production.

Department means the Massachusetts Department of Agricultural Resources.

Eligible Taxpayer means a person as defined by M.G.L. c. 4, § 7, 23rd paragraph who holds a Certificate of Registration.

Farm Price means a price calculated according to 330 CMR 29.04 that reflects the milk price paid to farmers and based on the United States Milk Marketing Order for the Northeast.

MILC Payment means Milk Income Loss Contract Program payment as calculated according to 7 USC 8773.

Monthly Milk Costs of Production means the Monthly Milk Costs of Production for the state of Vermont published by the USDA or as the Commissioner shall otherwise determine.

Northeast Federal Milk Marketing Order means 7 CFR 1001.

5/1/09 (Effective 2/20/09) 175 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. 330 CMR: DEPARTMENT OF FOOD AND AGRICULTURE

29.02: continued

Program means the Dairy Farmer Tax Credit Program.

Protein Price means the price of protein as announced monthly by the Northeast Federal Milk Marketing Order, Boston, MA.

Proteins Test means the average protein test as announced monthly by the Northeast Federal Milk Marketing Order, Boston, MA.

Solids Price means the solids price as announced monthly by the Northeast Federal Milk Marketing Order.

Solids Test means the average solids test as announced monthly by the Northeast Federal Milk Marketing Order, Boston, MA.

Total Milk Production means the sum of all the Annual Milk Production of all Eligible Taxpayers.

Total Cumulative Value of Credits means the total cumulative value of authorized credits as provided in M.G.L. c. 62, § 6(o)(3), and M.G.L. c. 63, § 38Z.

Total Tax Credit means a value obtained by multiplying the Trigger Percent by the Total Cumulative Value of Credits.

Trigger Percent means the number of months for which the Farm Price is less than or equal to the Trigger Price divided by 12.

Trigger Price means the price established by the Department for the purpose of calculating the tax credit.

USDA means the United States Department of Agriculture.

29.03: Dairy Farmer Tax Credit Program Established

The Department shall establish a Dairy Farmer Tax Credit Program under which an Eligible Taxpayer who holds a Certificate of Registration as a dairy farmer may be allowed a refundable income tax credit based on the amount of milk produced and sold. The credit shall be claimed against the taxes due pursuant to M.G.L. chs. 62 or 63. The credit shall be based on the United States Federal Milk Marketing Order for the applicable market such that if the United States Federal Milk Marketing Order price drops below a Trigger Price anytime during the taxable year such taxpayer may receive the tax credit.

29.04: Dairy Farmer Eligibility

(1) Disclosure and Authorization Statement. Any Eligible Taxpayer wishing to claim the Dairy Farmer Tax Credit shall file a disclosure and authorization statement with the Commissioner not later than January 31st. The disclosure and authorization statement shall be on a form prescribed by the Commissioner and shall include a statement disclosing taxpayer identification information, monthly milk production information as it becomes available, and authorization for third parties with relevant milk production information to release such information to the Department for verification purposes. An eligible taxpayer obtaining a Certificate of Registration after January 31st shall file a Disclosure and Authorization Statement with the Commissioner within 30 days thereafter. The Commissioner may extend the deadline for cause.

(2) Certificate of Registration and Qualification. A Certificate of Registration is required for the Program.

5/1/09 (Effective 2/20/09) 176 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. 330 CMR: DEPARTMENT OF FOOD AND AGRICULTURE

29.04: continued

(3) Monthly Milk Production Reports. An Eligible Taxpayer shall submit a monthly milk production report, on a form prescribed by the Commissioner, not later than the last day of the next ensuing month except for the month of December, which shall be submitted no later than the 15th day of January.

(4) Data Release Authorization. An Eligible Taxpayer who has filed a Disclosure and Authorization Statement with the Commissioner shall be deemed to have authorized the release of production data required by the Commissioner for the administration of this Program.

29.05: Certification of Eligibility and Tax Credit

(1) The Commissioner shall certify to the Commissioner of the Department of Revenue pursuant to M.G.L. c. 62, § 6(o), or M.G.L. c. 63, § 38Z(d), that an Eligible Taxpayer claiming credits under 330 CMR 29.00 has met the eligibility requirements provided in 330 CMR 29.05 and the amount of credit to which any such Eligible Taxpayer is entitled. In making such certification, the Commissioner shall state that, to the best of the Commissioner's knowledge, the milk production reports submitted by an Eligible Taxpayer are accurate. A copy of the certification shall be sent to the Eligible Taxpayer.

(2) The Department may verify monthly milk production reports either by auditing a Person's records of milk production revenues or by acquiring records from third parties that have collected such data including records released by the Federal Milk Market Administrator's Office after due release permission has been granted, milk marketing cooperatives, or the MILC program records.

(3) Resolving Discrepancy. If the Commissioner identifies a discrepancy in production reports, the Eligible Taxpayer shall be notified, whereupon the Eligible Taxpayer shall have three days to return to the Commissioner with sufficient information to validate the production record. Upon receipt of such information, the Commissioner shall then have three days to notify the Eligible Taxpayer of its determination as to whether to amend the Eligible Taxpayer's total production.

29.06: Trigger Price

(1) Calculation. The Trigger Price shall be calculated for each month during the year and shall equal the sum of the following components of the Monthly Milk Cost of Production: total operating costs, cost of hired labor, and a portion of the opportunity cost of unpaid labor. Beginning in 2008, the portion of the opportunity cost of labor shall be 41.8%. This portion shall be reviewed by the Commissioner at least every five years as circumstances warrant.

(2) Alternative Calculation. In the absence of the timely publication of USDA's Monthly Milk Cost of Production, the Commissioner shall estimate the total operating costs, costs of hired labor, and the opportunity cost of unpaid labor; such estimates shall then be used to calculate the Trigger Price as in 330 CMR 29.06(1).

29.07: Farm Price

(1) Calculation. The Farm Price shall be calculated as the sum of the following values: the Butterfat Price multiplied by the Butterfat Test, the Protein Price multiplied by the Protein Test, the Solids Price multiplied by the Solids Test, and the MILC Payment rate for the applicable month.

(2) Alternative Calculation. In the absence of a timely publication by the Northeast Federal Milk Marketing Order of the necessary prices and component tests, the Commissioner shall estimate the required values and then use these estimates in the calculation as provided for in 330 CMR 29.07(1).

5/1/09 (Effective 2/20/09) 177 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. 330 CMR: DEPARTMENT OF FOOD AND AGRICULTURE

29.08: Tax Credit Calculation and Transmittal to the Department of Revenue

(1) On or before the last day of January following the applicable tax year, the Commissioner shall calculate the following values: (a) Trigger Percent (b) Total Tax Credit (c) Dairy Farmer Tax Credit Rate

(2) On or before the last day of January following the applicable tax year, the Commissioner shall transmit a list of Eligible Taxpayers that may claim the Dairy Farmer Tax Credit. The list shall contain the taxpayer's name, tax identification number, Annual Milk Production, and the amount of the Dairy Farmer Tax Credit to which the Eligible Taxpayer is entitled.

29.09: Application of the Tax Credit to an Eligible Taxpayer's Tax Return

(1) The amount of the Dairy Farmer Tax Credit shall be applied to the Eligible Taxpayer's income tax return as follows: (a) if the tax liability is greater than the Dairy Farmer Tax Credit of the Eligible Taxpayer, then the taxpayer's tax liability shall be reduced the amount of the credit. (b) if the tax liability is less than the Dairy Farmer Tax Credit, then the Eligible Taxpayer's tax liability shall be reduced to zero. The difference between the Dairy Farmer Tax Credit and the tax liability shall be multiplied by 0.9 (90%) and the result shall be refunded to the taxpayer. (c) if the tax liability of the Eligible Taxpayer is zero, then the Dairy Farmer Tax Credit shall be multiplied by 0.9 (90%) and the result shall be refunded to the taxpayer.

(2) An example of the forgoing follows:

Example 1. Taxes Owed $2,000 Tax Credit -$1,000 Net Taxes Owed $1,000

Example 2. Tax Credit $3,000 Taxes Owed -$2,000 Gross Refund $1,000 Net Refund (0.9 X 1,000) $900

Example 3. Tax Credit $3,000 Taxes Owed -$0,000 Gross Refund $3,000 Net Refund (0.9 X 3,000) $2,700

REGULATORY AUTHORITY

330 CMR 29.00: MGL c. 62, §§ 6(o)(1) through (4); c. 63, § 38Z and c. 94, § 16A.

5/1/09 (Effective 2/20/09) 178 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 # 153

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 520 CMR 14.00

CHAPTER TITLE: Excavation and Trench Safety

AGENCY: Department of Public Safety

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. The purpose of the regulation is to establish reasonable standards to protect the safety of the citizens of the Commonwealth from hazards inherent in excavations and trenches and to provide for penalties for individuals who violate any provisions of the regulation.

REGULATORY AUTHORITY: M.G.L. c. 82A

AGENCY CONTACT: Beth McLaughlin, Chief of Staff/General PHONE: (617) 727-3200 x Counsel 25227 ADDRESS: One Ashburton Place, Room 1301, 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. These emergency regulations are necessary to preserve the public health, safety, and general welfare. The notice requirments would be contrary to the public interest.

Date of public hearing or comment period: A public hearing will be held on May 26, 2009.

For the first five years:

No fiscal effect: No Fiscal Effect.

None.

CODE OF MASSACHUSETTS REGULATIONS INDEX - List key subjects that are relevant to this regulation: None.

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: Apr 16 2009

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1129 DATE: 05/01/2009

EFFECTIVE DATE: 04/16/2009

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

04/16/2009 jg

520 CMR 14.00: EXCAVATION AND TRENCH SAFETY

Section

14.01: Authority, Purpose, and Scope 14.02: Definitions 14.03: Permitting Requirements 14.04: Protections for the General Public 14.05: Suspension and Revocation of Permits; Assessment of Fines; Immediate Shut-down; Appeals

14.01: Authority, Purpose, and Scope

(1) Purpose and Scope. (a) 520 CMR 14.00 is promulgated by the Department of Public Safety in conjunction with the Division of Occupational Safety pursuant to authority granted by M.G.L. c. 82A, § 1. (b) The purpose of 520 CMR 14.00 is to establish reasonable standards to protect the safety of the citizens of the Commonwealth of Massachusetts from the hazards inherent in trenches and to provide for penalties for individuals who violate any provision of 520 CMR 14.00.

(2) Applicability Provision. 520 CMR 14.00 shall apply to any excavator: (a) shall not be construed or enforced in a manner that directly, substantially or specifically regulates the occupation, safety or health of any employee engaged in employment covered by the Federal Occupational Safety and Health Act (OSHA). (b) shall be read in conjunction with and shall not supersede, be construed or be enforced in a manner that contradicts 780 CMR: The Massachusetts State Building Code.

14.02: Definitions

Emergency. An unforeseen condition in which the safety of the public is in imminent danger because of a threat to life or health or where immediate correction is required to maintain or restore essential public utility service.

Excavator. Any entity including, but not limited to, a person, partnership, joint venture, trust, corporation, association, public utility, company or state or local government body or public agency which performs excavation operations including the excavation of trenches.

General Public. All natural persons not engaged in construction activities at a trench site.

Permit Holder. The excavator who is responsible for acquiring a permit from the Permitting Authority.

Permitting Authority. A city, town, or public agency required to administer the provisions of 520 CMR 14.03.

Public Agency. A department, agency, board, commission, authority, or other instrumentality of the commonwealth.

Serious Injury. A personal injury that results in death, dismemberment, significant disfigurement, permanent loss of the use of a body organ, member, function, or system, a compound fracture, or other significant injury that requires immediate admission and overnight hospitalization and observation by a licensed physician.

Trench. An excavation which is narrow in relation to its length, made below the surface ground in excess of three feet below grade and the depth of which is, in general, greater than the width, but the width of the trench, as measured at the bottom, is no greater than 15 feet.

Unattended Trench. A trench where neither the, excavator, or any of the people who are engaged in construction activities at the trench, are present.

5/1/09 (Effective 4/16/09) 119 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. 520 CMR: DEPARTMENT OF PUBLIC SAFETY

14.03: Permitting Requirements

(1) No person shall, except in an emergency, make a trench excavation, in any public way, public property, or privately owned land until a permit is obtained from the appropriately designated permitting authority.

(2) Issuance of Permit. (a) No person shall, except in an emergency, contract for the making of or make a trench, in any public way, public property, or privately owned land until a permit is obtained from the appropriately designated person within the city, town, or public agency that is authorized to issue the permit. The Permitting Authority may issue a single project permit for multiple trenches in a project. (b) Each city, town or regionalized entity shall designate one board or officer to issue permits for the excavation of trenches on privately owned land or land owned by a city or town. Cities or towns that regionalize or share permitting and inspection functions with other cities or towns may utilize these regionalized entities for the permitting of trenches. (c) Any individual or entity creating a trench on property that is owned or controlled by a public agency or that a public agency otherwise has a property interest in, including but not limited to an easement, shall obtain a permit from that public agency unless the permitting authority is otherwise designated through a written agreement. The public agency issuing the permit shall electronically notify the Department of Public Safety of the permit's issuance and shall provide the following information: 1. The location of the excavation indicated on the permit; 2. The anticipated date to begin the trench operation; 3. The anticipated date to conclude the trench operation; 4. The name of the permit holder; and (d) When issuing a permit under 520 CMR 14.03(2), the permitting authority shall attach a summary of OSHA Regulation 1926 Subpart P-Excavations and a summary of any regulation promulgated by the Department of Public Safety in conjunction with the Division of Occupational Safety in accordance with M.G.L. c. 82A.

(3) Permit Requirements. In order to obtain a permit, the following information must be submitted to the permitting authority: (a) Completed application; (b) Certificate of insurance; (c) Required fee in accordance with 520 CMR 14.03(6) where applicable.

(4) Contents of Permit Applications. All permit applications must contain the following information: (a) Digsafe number; (b) Name and contact information of the excavator; (c) Emergency (after hours) contact information; (d) Permit expiration date (if applicable); (e) Specific location of the trench(es); (f) Name and contact information of insurer; (g) All permit applications shall also include the following statements pursuant to M.G.L. c. 82A, § 3(3) and (5)(i) and (ii): 1. "Persons engaging in any trenching operation shall familiarize themselves with the federal safety standards promulgated by the Occupational Safety and Health Administration on excavations: 29 CFR 1926.650 et seq., entitled Subpart P Excavations." 2. "By applying for, accepting and signing this permit, the applicant attests to the following: a. that he has read and understood the regulations promulgated by the Department of Public Safety with regard to trench safety; b. that he has read and understood the federal safety standards promulgated by the Occupational Safety and Health Administration on excavations: 29 CFR 1926.650 et seq., entitled Subpart P "Excavations".

5/1/09 (Effective 4/16/09) 120 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. 520 CMR: DEPARTMENT OF PUBLIC SAFETY

14.03: continued

(5) Posting. All Permits issued pursuant to 520 CMR 14.00 shall be posted in plain view on the site of the trench. All permits shall be made available to the permitting authority, any investigator from the Division of Occupational Safety, any inspector of the Department of Public Safety, or any other lawfully authorized authority.

(6) Permit Fees. In accordance with M.G.L. c. 82A, § 2, the local permitting authority may charge a reasonable fee to cover the administrative costs incurred by the authority in connection with the review and processing of permits except that a gas company, as defined in M.G.L. c. 164, § 1, or any corporation that is subject to the provisions of M.G.L. chs. 165, 166 or 166A which has already paid a fee in order to attain a permit to excavate a public way of a city or town shall not be responsible for paying an additional fee for the same excavation.

(7) Excavators engaging in any trenching operation who utilize hoisting or other mechanical equipment subject to M.G.L. c. 146 shall only employ individuals licensed to operate said equipment by the department of public safety pursuant to M.G.L. c. 146 and the permit shall be presented to the licensed operator before excavation is commenced.

14.04: Protections for the General Public

(1) Generally. Wherever an unattended trench exists, the operation shall be secured in a safe manner and suitable protection for the general public shall be provided. The Excavator shall secure the unattended trench to prevent unauthorized entry when work is not in progress.

(2) Trenches on Public Ways. Access to unattended trenches opened during construction on a public way shall be restricted by covers or barriers. (a) Where covers are used they shall be comprised of steel metal plates no less than ¾ inch thick, or equivalent. Covers shall be placed over the trench. Such covers shall be level and physically secure to prevent the creation of a hazard by inadvertent movement. (b) Where barriers are used they shall comply with the following provisions: 1. A continuous barrier not less than six feet in height shall surround the unattended trench. 2. All barriers shall be of adequate strength and shall be supported in a manner that will allow them to be seen by the motorist and provide a stable support not easily blown over by the wind or traffic. 3. Trench barriers adjacent to high speed traffic may include traffic control barrels ballasted by sandbags or temporary pre-cast concrete barriers as components. 4. Trench barriers comprised of multiple sections shall allow not more than four inches between each section. Adjacent sections must be securely fastened to each other. 5. Any openings between the ground and barrier shall not exceed four inches. Openings greater than four inches may be protected by solid guards of suitable materials, including plywood or wood planks. 6. Barriers shall be at a sufficient distance from the trench to be unaffected by changing conditions of the trench site.

(3) Trenches at Fixed Work Sites Other than on a Public Way. Access to unattended trenches opened during construction at a fixed work site on public or private property shall be restricted by covers or portable barriers. (a) Where covers are used they shall be comprised of steel metal plates no less than ¾ inch thick or equivalent. Covers shall be placed over trenches. Such covers shall be level and physically secure to prevent the creation of a hazard by inadvertent movement. (b) Where portable protective barriers are used, barriers of a height not less than six feet shall be constructed surrounding the entire perimeter of the trench. 1. Barriers comprised of multiple sections may allow not more than four inches between each section. Adjacent sections must be securely fastened to each other. 2. Openings between the ground and fence shall not exceed four inches. Openings greater than four inches may be protected by solid guards or suitable materials, including plywood or wood planks.

5/1/09 (Effective 4/16/09) 121 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. 520 CMR: DEPARTMENT OF PUBLIC SAFETY

14.04: continued

3. Fence-type barriers shall be adequately secured by vertical support members. Fencing spaces shall not exceed four inches when measured as mesh size or between slats. 4. Solid barriers shall not contain holes or indentations larger than four inches. 5. All horizontal support members shall be located on the trench side of the barrier. 6. The wall of a dwelling or other permanent structure of a height of not less than six feet may serve as part of the barrier, provided it complies with all of the provisions of 520 CMR 14.04. 7. Gates and other means of egress must: a. Comply with the size and strength provisions of 520 CMR 14.04(3)(b); b. Be securely fastened to adjacent barrier components; c. Allow not more than four inches between gates and barrier components; and d. Be securely locked with a padlock, combination lock, or other suitable locking device. 8. Barriers must be clearly marked on all sides with signs indicating "Danger - Do Not Enter", "Authorized Personnel Only" or equivalent warning. 9. Barriers shall be placed at a sufficient distance from the trench to be unaffected by changing conditions of the trench site.

(4) The provisions of 520 CMR 14.04 may be substituted by continuous personal monitoring of the unattended trench by the permit holder or by person(s) under the control and direction of the permit holder.

(5) The provisions of 520 CMR 14.04 may be substituted by backfilling the work site while unattended.

(6) The permitting authority may require any additional, site-specific provisions it deems necessary to protect the general public as a condition to any permit issued.

14.05: Suspension and Revocation of Permits; Assessment of Fines; Immediate Shut-down; Appeals

(1) Scope. 520 CMR 14.05 establishes the suspension and revocation procedures for all permits, establishes the penalty structure for the assessment of administrative penalties and sets forth the procedure for immediate shut down of the site.

(2) Revocation and Suspension of Permit by Permitting Authority. The permitting authority may, after a hearing, suspend or revoke a permit issued pursuant 520 CMR 14.03. All hearings under 520 CMR 14.05 shall be held in accordance with M.G.L. c. 30A and 801 CMR 1.02. Each permitting authority shall have the discretion to establish the grounds consistent with 520 CMR 14.00 for a suspension or revocation however such suspension or revocation shall not be imposed in a manner which directly, substantially or specifically regulates the occupational safety or health of any employee engaged in employment covered by the Federal Occupational Safety and Health Act.

(3) Assessment of Fines by the Department of Public Safety. (a) Notwithstanding any action taken by a permitting authority pursuant to 520 CMR 14.05(2), the Department of Public Safety may assess administrative fines against the excavator in accordance with M.G.L. c. 82A § 1. (b) Penalty Structure. Whenever the Department of Public Safety finds upon inspection, investigation or other information in its possession, that a violation of any provision of 520 CMR 14.00 has occurred, the Department may assess an administrative penalty not to exceed $5,000.00 for each violation. Each day during which a violation exists shall constitute a separate offense. (c) Factors in Determining Amount of Penalty. In determining the amount of the administrative penalty, the Department of Public Safety may consider one or more of the following: 1. The willfulness of the violation; 2. Previous violations resulting in the imposition of administrative penalties as set forth in the rules of the Department of Public Safety;

5/1/09 (Effective 4/16/09) 122 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. 520 CMR: DEPARTMENT OF PUBLIC SAFETY

14.05: continued

3. Whether the violation resulted in an accident involving bodily injury or death to a member of the general public; 4. The actual or potential danger to the public; 5. Whether the excavator did everything reasonable to attempt to comply with 520 CMR 14.00; 6. Actions, if any, taken by the permitting authority; 7. Whether imposition of the administrative penalty is likely to deter future noncompliance; and 8. The interests of public safety. (d) Notice. The Department of Public Safety shall send written notice of alleged violation(s) and intent to impose administrative penalties to the violator. The Notice shall specify: 1. The specific condition(s) which constitute the violation; 2. The provision(s) of 520 CMR 14.00 with which there has been non-compliance; 3. The amount that is to be assessed as a penalty for each alleged violation; 4. The procedure for requesting a hearing as set forth in 520 CMR 14.05(7). (e) Hearings. Written requests for a hearing must be filed with the Department of Public Safety within ten calendar days of receipt of the notice of violation issued pursuant to 520 CMR 14.05(7).

(4) The failure to make a timely request for a hearing shall constitute a waiver of the right to a hearing and imposition of the penalty set forth in the Notice. A hearing shall be commenced by the Department of Public Safety within a reasonable period after the request for a hearing has been received by the Department of Public Safety. Any person aggrieved by a determination of the Department of Public Safety may appeal to the Superior Court in accordance with M.G.L. c. 30A, §14.

(5) Immediate Shutdown by State or Local Authorities. (a) Whenever the permitting authority, or an inspector from either the Department of Public Safety or the Division of Occupational Safety deems a condition at a trench site to be a threat to public safety he may order that the area around the trench be made safe for the general public and may further order the immediate shutdown of the site until such time as the condition has been corrected to the satisfaction of the authority responsible for the immediate shutdown. (b) Conditions which warrant immediate shutdown of a trench site by the local permitting authority, an inspector from the Department of Public Safety or the Division of Occupational Safety may include: 1. A fatality or serious injury to a member of the general public; 2. Failure to use protections for the General Public in accordance with 520 CMR 14.00 or an ineffective use of any protection for the General Public allowed by 520 CMR 14.04; 3. Failure to obtain a permit from the permitting authority; 4. Any other condition that constitutes a serious threat to life, limb or property of the general public as determined by the permitting authority, an inspector from the Department of Public Safety, or the Division of Occupational Safety.

(6) Re-inspection Following Immediate Shutdown. The trench site shall remain closed until all necessary repairs and corrections have been made to the satisfaction of the authority responsible for the immediate shutdown, provided however, that the Department of Public Safety and Division of Occupational Safety shall have concurrent jurisdiction to authorize the reopening of a trench shut down by either agency. Reopening of the site may not occur until the site has been inspected by the authority ordering the immediate shutdown and found to be safe for reopening and operation; said inspection shall occur within two business days of written notification by the Excavator to the Permitting Authority that it has complied with all repairs and corrections ordered by the Permitting Authority.

5/1/09 (Effective 4/16/09) 123 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. 520 CMR: DEPARTMENT OF PUBLIC SAFETY

14.05: continued

(7) Appeal from Immediate Shutdown. Any person aggrieved by the decision by the Department of Public Safety, the Division of Occupational Safety, or the permitting authority to shut down a trench site pursuant to 520 CMR 14.05(5) may make an appeal for a hearing to the entity responsible for the immediate shutdown. The site shall remain shut down during the appeal period. Such appeal shall be made in writing within ten calendar days. Upon receipt of the appeal, a hearing shall be scheduled promptly. All hearings under 520 CMR 14.05(5) shall be held in accordance with M.G.L. c. 30A and 801 CMR 1.02. Any person aggrieved by a decision after hearing may appeal to the Superior Court in accordance with M.G.L. c. 30A, § 14.

(8) Serious Injury/Fatality; Notification; Investigation. (a) Notification. An excavator shall report all serious injuries or fatalities which occur at the location of a trench to the State Police within one hour from the time the serious injury occurred. (b) Investigation. In the event that a serious injury or fatality occurs, the trench site shall be immediately secured. The site surrounding the trench shall not be disturbed, cleaned, or altered in any way except by a public authority or as necessary for the preservation of life and property or the removal of the injured person(s) until receiving express authorization from an inspector of the Department of Public Safety.

REGULATORY AUTHORITY

520 CMR 14.00: M.G.L. c. 82A, §§ 1 through 5.

5/1/09 (Effective 4/16/09) 124 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 # 149

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 524 CMR 32.00

CHAPTER TITLE: Vertical Reciprocating Conveyors

AGENCY: Board of Elevator Regulations

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. These new regulations govern Vertical Reciprocating Conveyors (VRC). As of April 13, 2009, the definition of "elevator" in G.L. c.143, s. 71E now includes VRCs. These devices were not previously included in the definition and accordingly, not addressed in the elevator regulations (524 CMR). The regulations cover the scope of devices regulated and provide safety standards for the installation, maintenance, repair, and inspection of VRCs.

REGULATORY AUTHORITY: G.L. c.143, ss. 68, 69, and 71E

AGENCY CONTACT: Todd Grossman PHONE: (617) 826-5256

ADDRESS: One Ashburton Place, room 1301, Boston, MA

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

EMERGENCY ADOPTION - if this regulation is adopted as an emergency, state the nature of the emergency. As described above, the law was recently amended to include VRCs in the legal definition of "elevator." This change necessitates the immediate enactment of regulations to govern the inspectional, installation, and maintenance requirements.

Date of public hearing or comment period:

No fiscal effect:

To the extent a small business owns a VRC, it would be required to ensure that it meets certain safety standards. If it does not, there would be some cost associated with bringing the unit up to code. Additionally, owners will now be required to ensure that their units are inspected by the state annually at a cost of $400. These regulations do not duplicate or conflict with any other regulation. CODE OF MASSACHUSETTS REGULATIONS INDEX - List key subjects that are relevant to this regulation: vertical reciprocating conveyor installation alteration maintenance

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: Apr 19 2009

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1129 DATE: 05/01/2009

EFFECTIVE DATE: 04/15/2009

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

04/15/2009 mrs

524 CMR 32.00: VERTICAL RECIPROCATING CONVEYORS

Section

32.01: Scope and Application 32.02: Definitions 32.03: Hoistway Enclosure 32.04: Backstops 32.05: Machine Rooms 32.06: Hoistway Doors and Gates 32.07: Car Enclosures 32.08: Driving Machines and Control Equipment 32.09: Operating Protective Devices 32.10: Practical Tests and Inspections 32.11: Controlled Access Facility 32.12: Non-controlled Access Facility 32.13: Alterations

32.01: Scope and Application

(1) 524 CMR 32.00 is promulgated by the Board of Elevator Regulations pursuant to the authority granted by M.G.L. c.143, §§ 68 and 71E.

(2) The standards in 524 CMR 32.00 shall apply to the new installation, alteration, and maintenance of power-driven Vertical Reciprocating Conveyors (VRC) as defined in 524 CMR 32.02. A licensed structural engineer shall indicate conformance to these requirements and any additional requirements under the Massachusetts State Building Code (780 CMR) verifying a safety factor of three for all structural components.

(3) Vertical Reciprocating Conveyors shall be subject to inspection as provided in M.G.L. c. 143, § 64. Vertical Reciprocating Conveyors installed prior to April 15, 2009 shall be in full compliance with the applicable edition of ASME B20.1 in effect at the time of the installation by April 15, 2010. Prior to April 15, 2010, a state inspector may take appropriate action against a vertical reciprocating conveyor pursuant to 524 CMR 8.02, 8.03, or 8.06 or when any obvious safety hazards exist. Obvious safety hazards shall include, but not be limited to: lack of hoistway enclosure gates, lack of hoistway electrical door locks, ability to operate the conveyor from the platform, no travel or final limits.

(4) Vertical Reciprocating Conveyor wiring and electrical equipment shall be installed in accordance with 527 CMR 12.00.

(5) No riders shall be permitted on Vertical Reciprocating Conveyors while the lift is in operation.

(6) Individuals performing work relative to the construction, maintenance, or repair of Vertical Reciprocating Conveyors within the Commonwealth shall be subject to the licensing requirements of M.G.L. c. 143, § 71B.

(7) A permit for installation, alteration, relocation, or material change of a Vertical Reciprocating Conveyor must be obtained from the Department of Public Safety in accordance with 524 CMR 1.01, 1.02, 1.03, 1.04, and 1.05 prior to the commencement of any such work.

32.02: Definitions

The following definitions shall apply to the installation, alteration, repair and maintenance of equipment covered by 524 CMR 32.01:

ASME. American Society of Mechanical Engineers.

Controlled Access Facility. Any facility where the use of facility and access thereto is restricted only to persons leasing or otherwise using space.

5/1/09 (Effective 4/15/09) 215 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. 524 CMR: BOARD OF ELEVATOR REGULATIONS

32.02: continued

Doubled-ended Platform. A lift that is capable of being loaded and unloaded from more than one side of the platform.

Electromechanical Interlock. A device that prevents the operation of the VRC unless all hoistway doors and car gates (when provided) are closed and locked when locking is possible when the lift is away from landing.

Final Limit Switch. An electromechanical switch, device or system actuated by position of the car causing the main drive power to be disconnected from the driving machine when the lift reaches floor level or if the lift travels beyond the terminal landings.

General Public. People other than employees or owner's agent of the facility where a VRC is installed and operated.

Travel Limit Switch. A device that mechanically limits the travel of the lift when the platform arrives or travels beyond the terminal landings. This device may be used in conjunction with a final limit device or system.

Vertical Reciprocating Conveyor or VRC. A power driven stationary conveyance permanently installed, and comprised of a car or platform that moves in guides, serves two or more floors or landings, and travels in a vertical or inclined direction. It is an isolated self-contained lift, and is not part of a mechanized conveyor system. VRCs are normally installed in a commercial or industrial area not accessible to the general public or intended to be operated by the general public.

32.03: Hoistway Enclosure

(1) The hoistways of all VRCs that penetrate any fully enclosed solid floor above the bottom landing shall be enclosed throughout their height and constructed in accordance with 780 CMR (Massachusetts State Building Code) in effect at that time of installation.

(2) Where 524 CMR 32.03(1) does not apply, hoistway enclosures shall be constructed at each landing according to the following standards: (a) Enclosure Height of the hoistway shall be not less than 96 inches (2440-mm) and shall terminate as determined by the highest part of the lift, machinery or relating support structure. (b) Enclosures shall be constructed with material having the ability to withstand a 100 pound lateral force without deflection and reject a ball two inches (50-mm) in diameter. (c) Where the VRC is adjacent to a stairway, the enclosure shall be of solid or perforated construction and shall not be less than 96 inches (2440-mm) above any step. Perforated construction shall reject a ball one inch (25-mm) in diameter.

32.04: Backstops

(1) Where a double-ended platform is not accessible from both sides at a landing, the enclosure shall be provided with a backstop located on the hoistway enclosure opposite the landing opening. When car doors or gates are provided, backstops are not required.

(2) The strength of the material used for the backstop shall be sufficient to withstand normal load impacts.

(3) The backstop shall extend a minimum of 43 inches (1100-mm) high and not less than two inches (50-mm) below the platform or to floor level, as measured with the lift at floor level. The width of the backstop shall be not less than the clear opening.

(4) The distance measured horizontally from the platform to the backstop shall not exceed 1½ inches (38-mm).

5/1/09 (Effective 4/15/09) 216 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. 524 CMR: BOARD OF ELEVATOR REGULATIONS

32.05: Machine Rooms

Machine rooms or suitable enclosures around machinery and control equipment shall be required and shall meet the requirements of A.17.1-2004 Section 2.7 except as modified by 524 CMR 35.00.

32.06: Hoistway Doors and Gates

(1) The openings at each landing shall be provided with gates or doors that guard the full width of the opening and prevent entry to any hoistway area during material lift operation. Hoistway gates or doors shall extend vertically not more than two inches (50-mm) from the landing threshold and to a minimum height of 72 inches (1830-mm) above the landing threshold.

(2) The horizontal running clearance between the platform and landing threshold shall not be less than ½ inch (13 mm) nor greater than 1½ inches (40-mm).

(3) The horizontal clearance between the platform edge and the inside surface of the hoistway door shall not exceed five inches (130-mm).

(4) Each hoistway gate or door shall have an electromechanical interlock or combination mechanical door lock and contact to prevent the door from opening while the material lift is in operation and to prevent the material lift from operating if a door or gate is open at any landing. The interlock shall be located so it is not accessible from the landing side when the hoistway doors are closed. Access to the interlock through use of special tool is permitted provided the interlock is located not more than 84 inches (2130-mm) from floor level.

(5) There shall be a sign on each landing door or gate reading "NO RIDERS." Letters on the sign shall be a minimum of two inches (50-mm) high and be a contrasting color to the surrounding background.

(6) Power doors, when provided, shall conform to the following: (a) Swing door closing force shall not exceed 10-lbf (45-N). (b) Horizontal sliding or vertical operating doors closing force shall not exceed 30-lbf (133-N). (c) The maximum closing speed for doors shall not exceed 1-ft/sec (0.305-m/s). (d) The control device to open and close the door shall be within sight of the hoistway door it controls. Door control shall be of the constant pressure type and shall not be controlled automatically.

32.07: Car Enclosures

(1) The enclosure on the sides not used for loading and unloading shall be constructed to prevent material from falling into or against the hoistway enclosure during operation and will be constructed to reject a two inches (50 mm) ball. In no case shall the enclosure be less than 43 inches (1100 mm) high.

(2) Car Gates are not Required. Where provided, car gates shall be a minimum of 43 inches (1100-mm) high and provided with a gate switch contact to prevent operation of the lift unless the car gate is in the closed position.

(3) A snap chain, drop bar or similar device may be installed across all loading sides of the lift platform.

(4) A capacity sign shall be installed on conveyor and clearly visible showing the maximum rated capacity. The capacity sign lettering shall not be less that ¾ inch high.

(5) A "NO RIDERS" sign shall be installed on the conveyor. The lettering shall not be less than ¾ inch high.

5/1/09 (Effective 4/15/09) 217 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. 524 CMR: BOARD OF ELEVATOR REGULATIONS

32.07: continued

(6) Conveyors shall be equipped with an electric light or lights; not less than two lamps shall be provided. The minimum illumination at the landing edge of the conveyor platform when the landing doors are open shall not be less than five foot candles.

(7) A car light switch is not required on the conveyor, but it shall be required in the machine room.

32.08: Driving Machines and Control Equipment

(1) Driving machines, pump units and other equipment shall be permanently secured in place and shall not be supported by hooks, cables, chains, similar devices or configurations. Chain hoists, rope falls or similar hoisting devices are prohibited from use as the main driving machine.

(2) The diameter of drive sheaves for traction machines and drums shall not be less than 30 times the diameter of the hoisting cables. The diameter of all other sheaves shall not be less than 21 times the diameter of the hoisting cables.

(3) The controller, driving machine and other equipment requiring periodic service and repair shall be readily accessible. Where machines are located in the hoistway, a safe means of access shall be provided from outside the hoistway to facilitate maintenance and repairs. Where equipment access panels are located more than 72 inches (1830-mm) above floor level, stairs or fixed ladders shall be provided. Stairs and fixed ladders shall comply with ASME A17.1.2.7.3.3.1.

(4) Illumination of work areas containing machines and controls shall be provided with an electric light or lights; not less than two lamps shall be provided. The minimum illumination of not less than ten foot candles as measured at a point in front of the equipment. An electrical outlet conforming to 527 CMR shall be provided within 72 inches of the control equipment.

(5) Controllers shall not be located in the hoistway and shall be located in a control room.

(6) Machine rooms and/or control rooms shall meet the requirements of 524 CMR 35.00: Section 2.26.

(7) Machines located in a hoistway shall meet the minimum guidelines for a Machine Roomless (MRL) installation.

(8) By-pass pressure on hydraulic units shall be set not to exceed 150% of working pressure and shall be sealed.

(9) An overspeed valve (rupture valve) shall be installed in the oil line of hydraulic units between the overspeed valve and the jack. Only threaded or welded pipe may be used between the overspeed valve and the jack.

32.09: Operating Protective Devices

(1) Each conveyor suspended by wire ropes, chains or similar means shall be equipped with car safeties. The car safety shall be capable of stopping the car and sustaining the car with 125% of its rated load. Upon activation of the car safeties, an electric safety switch shall be provided that will cause the power to be disconnected from the main driving means.

(2) Each lift shall be provided with top and bottom travel limits and final limit switches.

(3) Control stations shall be permanently installed on the outside of each landing. The control stations shall be in view of the hoistway and shall have an emergency mechanical set-reset type stop switch. The control stations shall be located at a point outside the hoistway so it is not possible for the same person to operate the control and ride the lift.

5/1/09 (Effective 4/15/09) 218 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. 524 CMR: BOARD OF ELEVATOR REGULATIONS

32.09: continued

(4) A lift with a winding drum machine shall be provided with a slack rope switch or slack chain that will cause the main power to be removed from the driving machine. The device shall be of the manually reset type.

32.10: Practical Tests and Inspections

Before a conveyor is allowed to operate, the requirements of 524 CMR 7.00 and 524 CMR 8.00 shall be met, where applicable.

32.11: Controlled Access Facility

All employees who intend to use a VRC in a controlled access facility shall be trained as to its safe operation. A record shall be kept on file by the facility documenting the individuals who have received such training. No employee of said facility may operate a VRC unless he or she has been trained on its safe operation.

32.12: Non-controlled Access Facility

VRCs may not be operated by the general public. If a VRC is located in a non-controlled access facility, the area surrounding the VRC shall be secured so that members of the public do not have access to the unit. There shall be a sign on or adjacent to the unit reading "NO RIDERS." Letters on the sign shall be a minimum of two inches (50-mm) high and be a contrasting color to the surrounding background.

32.13: Alterations

Alterations to existing lifts shall cause the equipment affected by the alteration to comply with 524 CMR 32.00.

REGULATORY AUTHORITY

524 CMR 32.00: M.G.L. c.143, §§ 68 and 71E.

5/1/09 (Effective 4/15/09) 219 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. 524 CMR: BOARD OF ELEVATOR REGULATIONS

NON-TEXT PAGE

5/1/09 (Effective 4/15/09) 220 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 # 41

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 101 CMR 15.00

CHAPTER TITLE: Criminal Offender Records Checks

AGENCY: Executive Office forHealth and Human Services

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. The revisions to these regulations establish a core standardized policy and procedure for EOHHS and its agencies, as well as specified vendor programs, to follow when reviewing Criminal Offender Records Information (CORI) of current and prospective employees.

REGULATORY AUTHORITY: M.G.L. c. 6A, s. 16

AGENCY CONTACT: Barbara Wexler PHONE: 617-573-1681

ADDRESS: One Ashburton Place, Room 1109, 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. Executive Order 485: 11/18/08 Executive Office of Communities and Development: 11/28/08 Massachusetts Municipal Association: 11/28/08

Date of public hearing or comment period: 11/28/08-01/09/09 and 03/23/09-04/13/09

For the first five years: FY '09 through FY '13: very minimal costs

No fiscal effect:

N/A

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

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: Apr 17 2009

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1129 DATE: 05/01/2009

EFFECTIVE DATE: 05/01/2009

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: 1, 2 1, 2 61 - 72 61 - 72.2

04/17/2009 mrs

Table of Contents Page

(101 CMR 1.00 THROUGH 9.00: RESERVED) 5

101 CMR 10.00: TRANSITIONAL PLANNING SERVICES 45

Section 10.01: Purpose 45 Section 10.02: Definitions 45 Section 10.03: Appeal of Individual Transitional Plan by Disabled Person 45 Section 10.04: Appeal of Individual Transitional Plan by State Agency 45 Section 10.05: Extension of Individual Transitional Plan 46 Section 10.06: Termination of Individual Transitional Plan 46

(101 CMR 11.00 THROUGH 13.00: RESERVED) 53

101 CMR 14.00: PILOT PROGRAM OF NUTRITIONAL ASSISTANCE 59

101 CMR 15.00: CRIMINAL OFFENDER RECORD CHECKS 61

Section 15.01: Purpose 61 Section 15.02: Policy 61 Section 15.03: Scope 61 Section 15.04: Definitions 62 Section 15.05: Community Service and Work Release Workers 64 Section 15.06: Application Forms 64 Section 15.07: CORI Investigations 65 Section 15.08: Findings from CORI Investigations – No Further Review – Outstanding Warrants 65 Section 15.09: Findings from CORI Investigation - Crimes Subject to Review 65 Section 15.10: Post Audit and Compliance Review 67 Section 15.11: Dissemination 67 Section 15.12: Incidents 67 Section 15.13: Agency Regulations 67 Section 15.14: Severability 67 Section 15.15: Tables of Offenses 68

101 CMR 16.00: PERSONAL DATA USE AND PERMITTED DISCLOSURES BY AND AMONG THE EXECUTIVE OFFICE OF HEALTH AND HUMAN SERVICES AND ITS AGENCIES 73

Section 16.01: Applicability 73 Section 16.02: Purpose 73 Section 16.03: Definitions 73 Section 16.04: Use or Disclosure of Personal Data by EOHHS 74 Section 16.05: Use or Disclosure of Personal Data Between and Among Agencies 74 Section 16.06: Use and Disclosure Only Within EOHHS Agencies 74 Section 16.07: Safeguarding Personal Data 74

5/1/09 101 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. 101 CMR: EXECUTIVE OFFICE OF HEALTH AND HUMAN SERVICES

(PAGES 3 AND 4 ARE RESERVED FOR FUTURE USE.)

8/2/02 101 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. 101 CMR: EXECUTIVE OFFICE OF HEALTH AND HUMAN SERVICES

101 CMR 15.00: CRIMINAL OFFENDER RECORD CHECKS

Section

15.01: Purpose 15.02: Policy 15.03: Scope 15.04: Definitions 15.05: Community Service and Work Release Workers 15.06: Application Forms 15.07: CORI Investigations 15.08: Findings from CORI Investigations – No Further Review – Outstanding Warrants 15.09: Findings from CORI Investigation - Crimes Subject to Review 15.10: Post Audit and Compliance Review 15.11: Dissemination 15.12: Incidents 15.13: Agency Regulations 15.14: Severability 15.15: Tables of Offenses

15.01: Purpose

The purpose of 101 CMR 15.01 et seq. is to establish a core standardized policy and procedure for the Executive Office of Health and Human Services (EOHHS), its agencies, and vendor programs regarding the review of criminal records of candidates for employment.

15.02: Policy

It is the policy of EOHHS that an individual's background, including any Criminal Offender Record Information (CORI) and other relevant information, be carefully considered so that the vulnerable populations served by EOHHS and its agencies are protected. It is also the policy of EOHHS that qualified rehabilitated offenders are given a fair opportunity to be employed and reintegrate successfully into the workforce. Further, a criminal background check should only occur, and its results considered, in those instances where a current or prospective employee shall have been deemed otherwise qualified and the content of a criminal record is relevant to the duties and qualifications of the position.

15.03: Scope

(1) Subject to certification by the Criminal History Systems Board (CHSB), criminal history information shall be required and only considered with respect to the following categories of applicants and employees of EOHHS, its agencies, and vendor programs: (a) applicants and employees seeking a position that entails the potential for unsupervised contact with program clients; (b) applicants and employees for whom a CORI is necessary to comply with other legal requirements, or for whom a CORI is otherwise deemed by EOHHS, its agencies, or vendor programs to be relevant to the duties and qualifications of the position; and (c) employees who apply for a new position that falls within the scope of 101 CMR 15.03(1)(a) or (b).

(2) Current employees in positions where a CORI is required may be subject to a criminal record review at other times in the hiring authority's discretion. Notwithstanding the foregoing, the hiring authority shall not take any action based on the CORI unless the CORI reveals criminal activity since the prior CORI.

(3) Neither MassHealth providers nor entities or persons who are licensed by an EOHHS agency or who receive a grant from EOHHS or an EOHHS agency are subject to 101 CMR 15.00 solely by virtue of their status as MassHealth providers, EOHHS licensees, or grant recipients. Notwithstanding the foregoing, nothing in 101 CMR 15.00 should be construed to limit the MassHealth program or an EOHHS agency from considering a person's CORI or other criminal record information when determining if he or she may participate as a provider in the MassHealth program, be licensed, or receive a grant.

5/1/09 101 CMR - 61 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 101 CMR: EXECUTIVE OFFICE OF HEALTH AND HUMAN SERVICES

15.03: continued

(4) Notwithstanding anything in 101 CMR 15.00, a CORI is not required for EOHHS and EOHHS agency employees who, as of May 1, 2009, and for vendor program employees, who, as of July 1, 2009, hold a position where a CORI would otherwise be required, but who were not previously the subject of a CORI nor required to have been so under the EOHHS or EOHHS agency regulations applicable when the employee was hired.

(5) Notwithstanding anything in 101 CMR 15.00, EOHHS, EOHHS agencies, and vendor programs, at their expense, may use convictions and pending criminal matters in other states in addition to CORI. Such information shall be reviewed in accordance with 101 CMR 15.00 and as if the crime had occurred in Massachusetts.

(6) Notwithstanding anything in 101 CMR 15.00, 101 CMR 15.00 shall not apply to applicants for positions in or employees of vendor programs licensed by the Department of Early Education and Care. Such vendor programs shall be subject to 606 CMR 14.00.

(7) The procedures under 101 CMR 15.06 through 15.09 shall be followed for all positions that fall within the scope of 101 CMR 15.03.

(8) Vendor programs shall not be subject to the within regulations at 101 CMR 15.00 until July 1, 2009. Until such time, vendor programs shall continue to comply with the EOHHS or applicable EOHHS agency regulation about the use of CORI for employment purposes that were in effect on April 30, 2009.

15.04: Definitions

Applicant. Any person seeking employment with EOHHS or an EOHHS agency or their vendor programs, including current employees seeking new positions.

Candidate. Any person who is first determined otherwise qualified for the position and has received a conditional offer of employment subject to consideration of any criminal record information.

Client. Any person applying for or receiving EOHHS or EOHHS agency or their vendor program services.

Community Service Worker. Any individual who, as a condition of probation, is applying for a position.

CORI Cleared Employee. Any candidate hired as an employee after the hiring authority completed all requirements of 101 CMR 15.00.

CORI Coordinator. The person designated by the hiring authority to send requests and receive responses from the Criminal History Systems Board (CHSB).

CORI Investigation. The process of requesting, receiving, and evaluating CORI related to candidates for employment.

Criminal History Systems Board (CHSB). The board created under M.G.L. c. 6, § 168, which provides for and exercises control over the installation, operation, and maintenance of the data communication system known as the Criminal Offender Record Information (CORI) system.

Criminal Justice Official. Either the candidate's probation officer, parole officer, or correctional facility superintendent (or designee), depending upon whomever had the most recent responsibility for supervision of the candidate. Candidates last supervised in a correctional facility may advise the hiring authority of any employee of the correctional facility who may have specific information about the candidate that would assist the superintendent in his or her assessment process.

5/1/09 101 CMR - 62 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 101 CMR: EXECUTIVE OFFICE OF HEALTH AND HUMAN SERVICES

15.04: continued

Criminal Offender Record Information (CORI). Information regulated by the Criminal History Systems Board (CHSB) and defined under CHSB regulations at 801 CMR 2.03 to include records and data in any communicable form compiled by a criminal justice agency that concern an identifiable individual and relate to the nature or disposition of a criminal charge, an arrest, a pre-trial proceeding, other judicial proceedings, sentencing, incarceration, rehabilitation, or release.

Employees: Individuals holding full and part-time positions, including state employees, contract employees, individual consultants, temporary employees, volunteers, trainees, interns, or students, regardless of whether the individuals receive compensation and the source of funding for the positions. For the purposes of 101 CMR 15.04, a current client of a facility or program who provides services at that facility or program will not be considered an employee at that facility or program.

Employment. Full and part-time positions held by any person, including state employees, contract employees, individual consultants, temporary employees, volunteers, trainees, interns, or students, regardless of whether the person receives compensation and the source of funding for the positions.

EOHHS. The Executive Office of Health and Human Services.

EOHHS Agency. Any agency, department, commission, office, board, division, or other body within and subject to EOHHS under M.G.L. c. 6A, § 16, including the Office of Elder Affairs.

EOHHS Funded or Operated Program. Any program operated by EOHHS or an EOHHS agency or their vendor programs that provides health and human services for or on behalf of EOHHS or EOHHS agency clients in accordance with a contract under 808 CMR 1.00.

Hiring Authority. The person or persons legally authorized or designated to make hiring decisions within EOHHS or an EOHHS agency or their vendor programs. Different persons may be authorized or designated as responsible for specific parts of the process in making a hiring decision.

No Record. The conclusion from a CORI search that convictions or pending charges relating to the candidate have not been found. A finding of "no record" does not necessarily mean, however, that criminal information is not present in the CORI database.

Otherwise Qualified. An applicant who meets all other employment criteria and consideration for a position.

Pending. A criminal matter is considered pending if the CORI report indicates that the matter remains open and without final resolution, including that the case has been continued without a finding.

Potential Unsupervised Contact. Potential for contact with a client when no other CORI cleared employee is present. A person having only the potential for incidental unsupervised contact with clients in commonly used areas such as elevators, hallways, and waiting rooms, will not be considered to have the potential for unsupervised contact for purposes of 101 CMR 15.03. The term "commonly used areas" does not include bathrooms or other isolated areas that are separated by sight and sound from other staff.

Qualified Mental Health Professional. A psychiatrist licensed to practice medicine under M.G.L. c. 112, § 2, a psychologist licensed under M.G.L. c. 112, § 118 through 121, or an independent clinical social worker licensed under M.G.L. c. 112, § 130 through 132; provided that he or she has at least 1,000 hours of experience over a minimum of two years involving assessment, treatment, and consultation concerning individuals with behavior that presents a risk of harm to others in the community, in the workplace, in treatment settings, or in correctional facilities; provided further that he or she has not provided treatment to the candidate.

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15.04: continued

Trainee. Any person enrolled in an academic program or participating in a pre- or post-doctoral training program that is affiliated with an accredited educational institution or hospital, who receives a placement within EOHHS or an EOHHS agency or their vendor programs.

Vendor Program. A program, administered by an individual, corporation, partnership, organization, trust, association, or other entity, that provides services to EOHHS or EOHHS agency clients under a contract issued by EOHHS or an EOHHS agency in accordance with 808 CMR 1.00. An individual or entity will not be considered a vendor program solely because they participate as a MassHealth provider or are licensed by an EOHHS agency or receive a grant from EOHHS or an EOHHS agency.

Volunteer. Any person who works in an unpaid capacity for EOHHS, an EOHHS agency, or vendor program. For the purposes of 101 CMR 15.04, a current client of a facility or program who provides unpaid services at that facility or program will not be considered a volunteer at that facility or program.

Work Release Program. A program of unpaid work performed by an individual under the custody of the state or county correctional system.

15.05: Community Service and Work Release Workers

(1) Notwithstanding anything in 101 CMR 15.00, EOHHS or any EOHHS agency or their vendor programs that participate in either a criminal justice related community service program or a work release program must require all individuals who participate to disclose his or her criminal record on a form signed by the candidate's criminal justice official. No inquiry, however, may be made inconsistent with M.G.L. c. 151B, § 4, para 9 which prohibits the disclosure of: (a) an arrest, detention, or disposition regarding any violation of law in which no conviction resulted; or (b) a first conviction for any of the following misdemeanors: drunkenness, simple assault, speeding, minor traffic violations, affray, or disturbance of the peace; or (c) any conviction of a misdemeanor where the date of such conviction or the completion of any period of incarceration resulting there from, whichever date is later, occurred five or more years prior to the date of such application for employment or such request for information, unless such person has been convicted of any offense within five years immediately preceding the date of such application for employment or such request for information.

(2) In addition, as a condition of participation, the candidate's criminal justice official must conclude in writing that the candidate will not pose an unacceptable risk of harm to clients, or the community service program or work release program will take responsibility for providing physical supervision for the candidate at all times.

15.06: Application Forms

(1) Disclosure of Criminal Records. (a) No initial employment application form may ask whether an applicant has a criminal record. Only a candidate who has been first determined otherwise eligible for a position subject to a CORI and given a conditional offer of employment subject to consideration of any criminal record, may be asked to complete a supplemental form requiring the disclosure of the candidate's criminal record. No inquiry may be made inconsistent with M.G.L. c. 151B, § 4, para 9, referenced under 101 CMR 15.05(1). (b) Any other criminal record information will be obtained in accordance with 101 CMR 15.06(2).

(2) CORI Authorization Forms and Consent. (a) The hiring authority will ensure that a candidate provides consent to a CORI investigation and, where applicable, to the periodic conduct of further CORI investigations during the course of employment.

5/1/09 101 CMR - 64 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 101 CMR: EXECUTIVE OFFICE OF HEALTH AND HUMAN SERVICES

15.06: continued

(b) All candidates must complete an appropriate CORI authorization form and submit a copy of at least one government-issued photographic identification, such as a driver's license, or if the applicant has not been issued such a form of identification, then a copy of a government-issued non-photographic identification, such as a birth certificate or social security card. (c) The hiring authority will also inform the candidate that his or her CORI may be utilized by qualified mental-health professionals conducting themselves in conformance with 101 CMR 15.09 and by EOHHS, EOHHS agency, or vendor program personnel responsible for carrying out the provisions of 101 CMR 15.00.

15.07: CORI Investigations

(1) A hiring authority will complete a CORI investigation only after determining that the person is otherwise qualified for employment and making a conditional offer of employment to a candidate, subject to consideration of any criminal record.

(2) The hiring authority will confirm an offer only after the hiring authority receives written confirmation that the criminal record investigation has resulted in a finding of "no record" or the hiring authority has complied with the requirements of 101 CMR 15.07, 15.08, and 15.09. The hiring authority will not permit any candidate to commence employment until after the candidate is cleared as a result of the CORI investigation in accordance with 101 CMR 15.00. Notwithstanding the foregoing, pending the candidate being cleared, the hiring authority may permit the candidate to commence employment on a temporary basis in a position outside the scope of 101CMR 15.03(1).

(3) All CORI investigations that result in a finding of "no record" are transmitted back to the hiring authority and provide sufficient evidence of suitability for hire for 60 business days. A "no record" finding may be valid for consideration for other positions during such 60 days.

(4) All CORI investigations that show findings of criminal records are sent immediately to the hiring authority for review and action consistent with 101 CMR 15.00.

15.08: Findings from CORI Investigations – No Further Review – Outstanding Warrants

(1) If the CORI investigation reveals a conviction of a 101 CMR 15.15: Table B crime that is a felony more than ten years old, or a 101 CMR 15.15: Table B crime that is a misdemeanor more than five years old, and there are no subsequent convictions or pending cases of any kind, the hiring authority will not consider such crime. For purposes of computing the five and ten-year time periods, the time period will run from the date any court supervision, probation, or sentence was terminated.

(2) If the CORI investigation reveals an outstanding warrant for any offense, the hiring authority will inform the candidate that he or she is ineligible for employment unless the warrant is removed.

(3) All CORI reports, including those with a finding of "no record," shall be filed in a secure location.

15.09: Findings from CORI Investigation - Crimes Subject to Review

(1) If the CORI investigation reveals a conviction of a 101 CMR 15.15: Table A crime, regardless of when it occurred, or a pending 101 CMR 15.15: Table A crime, or a conviction of a 101 CMR 15.15: Table B crime within the five- and ten-year time periods referenced under 101 CMR 15.08(2), or a pending 101 CMR 15.15: Table B crime, the hiring authority will give careful consideration to the following factors in its decision to hire or not hire the candidate: (a) time since the conviction or pending offense; (b) age of the candidate at the time of the offense; (c) nature and specific circumstances of the offense;

5/1/09 101 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. 101 CMR: EXECUTIVE OFFICE OF HEALTH AND HUMAN SERVICES

15.09: continued

(d) sentence imposed and length of any period of incarceration; (e) relationship of the criminal act to the nature of the work to be performed; (f) number of offenses; (g) whether offenses were committed in association with a dependence on drugs or alcohol, from which the candidate has since recovered; (h) any relevant evidence of rehabilitation or lack thereof, such as information about compliance with conditions of parole or probation, including orders of no contact with victims and witnesses; and the individual's conduct and experience since the time of the offense, including but not limited to educational or professional certifications obtained; and (i) any other relevant information, including information submitted by the candidate, or requested by the hiring authority.

(2) The hiring authority, using a form prescribed by EOHHS, will also make a written determination of its decision to hire or not hire such candidate. This form will document the factors considered and the rationale for the hiring authority's decision. A copy of such written determination will be maintained by the hiring authority in a secure location, together with the CORI and criminal record disclosure information that may have been requested under 101 CMR 15.06(1)(a). Completion of the written determination form will serve to confirm that the hiring authority has carefully reviewed the CORI and other relevant information, including information provided by the candidate, so that the vulnerable populations served by EOHHS agencies are protected and candidates with criminal histories are given a fair opportunity to be employed and to reintegrate successfully into the workforce.

(3) (a) In addition, if the hiring authority decides to hire a candidate with a CORI showing a conviction of, or pending Table A crime, the hiring authority will submit the prescribed form to the EOHHS Secretary or the EOHHS agency Commissioner or their designees. The hiring authority will not proceed to hire the candidate for five business days from the date the EOHHS Secretary or the EOHHS agency Commissioner or their designees receive the form. During such time, the EOHHS Secretary or EOHHS agency Commissioner or their designees may disapprove the hire or request additional information. Notwithstanding the foregoing, a hiring authority may proceed to hire the candidate before the expiration of the five-day period if the EOHHS Secretary or EOHHS agency Commissioner or designee, after receiving the prescribed form, informs the hiring authority that he or she does not intend to disapprove the hire or request additional information. (b) EOHHS or an EOHHS agency may require that the hiring authority's review include the following: 1. a review by the candidate's criminal justice official, including a determination in writing that the candidate, within the position sought, does not pose an unacceptable risk of harm to the clients; or 2. if the criminal justice official has been determined by the hiring authority to be unavailable or has indicated he or she has insufficient information to render an assessment, a written determination from a qualified mental-health professional that the candidate, within the position sought, does not pose an unacceptable risk of harm to the clients. The EOHHS agency or EOHHS, if EOHHS makes the request, will bear the cost of an assessment by a qualified mental-health professional of the candidate's risk of harm.

(4) If the hiring authority does not wish to hire a candidate with a 101 CMR 15.15: Table A crime, or a 101 CMR 15.15: Table B crime within the five- and ten-year time periods referenced under 101 CMR 15.08(2), the prescribed form will be completed as outlined in 101 CMR 15.09(2) and will be maintained on file in a secure location.

(5) Before any determination or hiring decision is made on the basis of the CORI, the hiring authority will comply with all requirements of the CHSB under 803 CMR 2.00 through 9.00 et seq., including: (a) providing a candidate with a copy of his or her CORI, EOHHS CORI regulations, and CHSB information concerning the process for correcting a criminal record; (b) notifying the candidate of the potential adverse decision based on the CORI; (c) informing the candidate what part of the criminal record appears to make him or her ineligible for the position;

5/1/09 101 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. 101 CMR: EXECUTIVE OFFICE OF HEALTH AND HUMAN SERVICES

15.09: continued

(d) providing the candidate with an opportunity to dispute the accuracy and relevancy of the CORI; and (e) upon receipt of any additional documentation received from the candidate or CHSB, reviewing the information with the candidate and inform him or her of the decision.

15.10: Post Audit and Compliance Review

(1) EOHHS or an EOHHS agency may conduct a periodic review of all documentation of compliance with 101 CMR 15.00, including written determinations of hiring decisions of candidates as required under 101 CMR 15.09(2).

(2) If such review or other relevant information obtained by EOHHS or an EOHHS agency raises concerns about the hiring authority's compliance, EOHHS or an EOHHS agency may require the hiring authority to submit documentation for all hiring decisions and provide EOHHS or an EOHHS agency five business days to disapprove any decision to hire. EOHHS or an EOHHS agency may require the hiring authority to follow such prior review process for as long a period as it determines is necessary to ensure that the hiring authority is complying.

(3) Notwithstanding 101 CMR 15.10(2), in the event of noncompliance by a vendor program with any provision under 101 CMR 15.00, EOHHS may terminate the vendor's contract or take such other action it determines appropriate

15.11: Dissemination

CORI records may be disseminated only to individuals certified by the CHSB to receive such information, such as the hiring authority or CORI Coordinator. The hiring authority will maintain a listing of persons so certified. Willful dissemination of CORI to unauthorized individuals is punishable by a jail sentence of up to one year and/or a fine of $5,000 in addition to civil penalties, pursuant to M.G.L. c. 6, § 178.

15.12: Incidents

Any hiring authority that receives an allegation that an EOHHS, an EOHHS agency, or vendor program employee with a positive CORI history has harmed a client will immediately report the allegation to the EOHHS or EOHHS agency General Counsel. Notification will include documentation of the hiring decision of the hiring authority.

15.13: Agency Regulations

101 CMR 15.00 is intended to supersede any EOHHS agency regulations on the use of CORI for employment purposes. To the extent that any agency regulation may conflict, 101 CMR 15.00 will take precedence.

15.14: Severability

If any provisions of 101 CMR 15.01 through 15.15, or the applications of such provisions to any person or circumstance are held invalid or unconstitutional, the other provisions of said 101 CMR 15.01 through 15.15, or the application of such provisions to any person or circumstance other than that as to which it is held invalid or unconstitutional, shall not be affected thereby.

5/1/09 101 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. 101 CMR: EXECUTIVE OFFICE OF HEALTH AND HUMAN SERVICES

15.15: Tables of Offenses

The offenses included in 101 CMR 15.15 are to be construed as including similar violations of the law of Massachusetts, another state, the United States, or a military, territorial, or Native American tribal authority. If an offense is determined to be similar, the hiring authority will consider the offense as if it were on the same table as the included offense.

Table A MGL

Abandon Child under 10, Resulting in Death c. 119, § 39 Abuse of Patient in Long Term Care Facility c. 265, § 38 Animals, Cruelty to c. 272, § 77 Armed Career Criminal c. 269, § 10G Arson of Dwelling House c. 266, § 1 Assault, Aggrevated c. 265, § 13A(b) Assault & Battery, Dangerous Weapon, Aggrevated c. 265, § 15A(c) Assault & Battery, Dangerous Weapon, Victim 60 and Older c. 265, § 15A(a) Assault & Battery on Child c. 265, § 13J Assault & Battery on Elder or Person with Disability c. 265, § 13K Assault & Battery, Intimidation, Race/Color/Religion c. 265, §§ 39(a) and 39(b) Assault & Battery on Retarded Person c. 265, § 13F Assault with Intent to Murder or Rob, Armed c. 265, § 18(b) Assault with Intent to Murder or Rob, Victim 60 and Older, Armed c. 265, § 18(a) Assault in Dwelling, Armed c. 265, § 18A Assault by Dangerous Weapon, Victim 60 and Older c. 265, § 15B(a) Assault with Intent to Murder or Maim c. 265, § 15 Assault with Intent to Rape c. 265, § 24 Assault with Intent to Rape Child under 16 c. 265, § 24B Breaking and Entering Night, Bldg/Ship/Motor Vehicle, Intent to Commit Felony c. 266, § 16 Carjacking, Armed c. 265, § 21A Child in Nude or Sexual Act, Pose/Exhibit or Distribute Material c. 272, §§ 29A and 29B Child Enticement c. 265, § 26C Civil Rights Violation, Bodily Injury c. 265, § 37 Criminal Harassment, Subsequent Offense c. 265, § 43A(b) Drugs, Distribute to Minor c. 94C, § 32F Drugs, Trafficking in Cocaine c. 94C, § 32E(b)(1)-(b)(4) Drugs, Trafficking in Heroin c. 94C, § 32E(c)(4) Drugs, Trafficking in Marijuana c. 94C, § 32E(a)(4) Elder/Disabled, Permit Abuse on c. 265, § 13K(a ½) Explosion, Malicious c. 266, § 101 Extortion c. 265, § 25 Firearm, Armed Career Crimnal c. 269, § 10G Home Invasion c. 265, § 18C Identity Fraud c. 266, § 37E Incest c. 272, § 17 Indecent Assault & Battery on Person 14 or over c. 265, § 13H Indecent Assault & Battery on Child under 14 c. 265, § 13B Indecent Assault & Battery on Child under 14, Aggravated c. 265, § 13B½ Indecent Assault & Battery on Child under 14, Aggravated, Subsequent Event c. 265, § 13B¾ Indecent Assault & Battery on Diabled/Person over 60 c. 265, § 13K Indecent Assault & Battery on Retarded Person c. 265, § 13F Kidnapping c. 265, § 26 Kidnapping Minor by Relative, Endanger Safety c. 265, § 26A Manslaughter (Voluntary or Involuntary) c. 265, § 13 Mayhem c. 265, § 14 Murder c. 265, §§ 1 and 2 Obscene Pictures, Distributing c. 272, §§ 28 and 29 Obscene Materials Harmful to Minor, Distribute or Possess with Intent to Distribute c. 272, § 28

5/1/09 101 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. 101 CMR: EXECUTIVE OFFICE OF HEALTH AND HUMAN SERVICES

15.15: continued

Table A MGL (continued)

Photograph Unsuspecting Nude Person/ Photograph of Unsuspecting Nude Person, Disseminate c. 272, §§ 104(b) and (c) Prescription; Forgery, Alter, Subsequent Offense c. 94C, § 33(c) Prostitution, Derive Support from c. 272, § 7 Prostitution, Derive Support from Child c. 272, § 4B Prostitution, Induce Minor to c. 272, § 4A Prostitution, Maintain House of c. 272, § 6 Prostitution/Unlawful Sex/Abduct Person for c. 272, § 2 Prostitution/Solicitation (With Person under 14) c. 272, § 53A(b) Rape c. 265, § 22(b) Rape, Aggravated c. 265, § 22(a) Rape & Abuse of a Child, Aggravated c. 265, § 23A Rape & Abuse of a Child, Aggravated, Subsequent Event c. 265, § 23B Rape of Child with Force c. 265, § 22A Rape of Child with Force, Aggravated c. 265, § 22B Rape of Child with Force, Aggravated, Subsequent Event c. 265, § 22C Rape of Child (Statutory) c. 265, § 23 Reckless Endangerment to Children c. 265, § 13L Robbery, Armed c. 265, § 17 Sex Offender, Failure to Register c. 6, § 178H(a) Sexual Conduct with Child under 14, Pay for or for Fee c. 272, § 53A(b) Sexual Intercourse, Administer Drugs for c. 272, § 3 Sexual Intercourse, Induce Minor c. 272, § 4 Stalking c. 265, § 43(a) Stalking in Violation of Restraining Order c. 265, § 43(b) Unnatural Acts with Child under 16 c. 272, § 35A Violate Domestic Protective Order c. 208, § 34C Violation of Protective Order (209A) c. 209A, § 7 Weapon of Mass Destruction c. 266, § 102C Conspiracy to Commit any of the above Table A Crimes c. 274, § 7 Accessory Before the Fact of any of the above Table A Crimes c. 274, § 2 Attempt to Commit any of the above Table A Crimes c. 274, § 6

Table B

Crime Name MGL Felony or Misdemeanor

Abandon Child under 10 c. 119, § 39 M Accessory after Fact (Variable) c. 272, § 4 F Accosting; Lewd & Lascivious Conduct; Indecent Exposure c. 272, § 53 M Affray c. 272, § 53 M Aid Escape from Custody c. 268, § 17 M Alcoholic Beverages, Sell/Deliver to Person under 21 c. 138, § 34 M Alien in Possess of Firearm c. 140, § 131H M Assault c. 265, § 13A(a) M Assault with Intent to Rob, Unarmed c. 265, § 20 F Assault & Battery c. 265, § 13A(a) M Assault & Battery on Public Servant/Police Officer c. 265, § 13D M Assault & Battery on Correctional Officer c. 127, § 38B F Assault & Battery Dangerous Weapon c. 265, § 15A(b) F Assault by Dangerous Weapon c. 265, § 15B(b) F Assault with Hypodermic Needle, Syringe c. 265, § 15C(a) F Assault & Battery with Hypodermic Needle, Syringe c. 265, § 15C(b) F Attempt to Injure Depository of Valuables c. 266, § 16 F Betting; Taking, Allowing c. 271, § 17 M Body Armor, Use of in Commission of Felony c. 269, § 10D F

5/1/09 101 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. 101 CMR: EXECUTIVE OFFICE OF HEALTH AND HUMAN SERVICES

15.15: continued

Table B (continued)

Crime Name MGL Felony or Misdemeanor

Bomb Scare /Hijack Threat c. 269, § 14 F Bomb/Explosives, Unlawful Possession c. 148, § 35 M Breaking and Entering Day, Intent to Commit Felony, Person in Fear c. 266, § 17 F Breaking and Entering Day, Intent to Commit Felony c. 266, § 18 F Breaking and Entering Railroad Car c. 266, § 19 F Breaking and Entering Truck, Intent to Commit Felony c. 266, § 20A F Breaking and Entering, Intent to Commit Misdemeanor c. 266, § 16A M Bribery of a Police Officer (State/Local Official or Member of the Judiciary) c. 268A, § 2 F Bribery/Gifts to Influence Business Affairs c. 271, § 39 F Burglarious Tools, Make or Possess c. 266, § 49 F Burglarious Tools, Motor Vehicle Master Key, Make or Possess c. 266, § 49 F Burglary, Armed c. 266, § 14 F Burglary, Unarmed c. 266, § 15 F Burning Building c. 266, § 2 F Burning Motor Vehicle or Personal Property c. 266, § 5 F Burning to Defraud Insurance Co. c. 266, § 10 F Burn Motor Vehicle, Willful & Malicious c. 266, § 127 F Civil Rights Violation, No Bodily Injury c. 265, § 37 M Compounding or Concealing Felony c. 268, § 3 F Contribute to Delinquency of Child c. 119, § 63 M Confine or Put in Fear to Steal or Attempt to Steal c. 265, § 21 F Credit Card, Larceny or Misuse of c. 266, § 37B M Credit Card, Unauthorized Use, over $250 c. 266, § 37C F Criminal Harassment c. 265, § 43A(a) M Dangerous Weapon, Carrying c. 269, §§ 10(b) F and 10(d) Dangerous Weapon, Unlawful Possession c. 269, § 10(b) F Defacement of Real or Personal Property c. 266, § 126A F Destruction of Property over $250, Malicious c. 266, § 127 F Disorderly Conduct c. 272, § 53 M Drugs, Larceny from Authorized Person c. 94C, § 37 F Drugs, Failure to Keep Records c. 94C, § 15 M Drugs, Illegal Possession Class C Substance c. 94C, § 34 M Drugs, Illegal Possession Class D Substance c. 94C, § 34 M Drugs, Illegal Possession Class E Substance c. 94C, § 34 M Drugs, Dispense Without Prescription or When Not Registered c. 94C, § 25 M Drug Paraphenelia, Distribute or Intend to Distribute c. 94C, § 32I(a) M Drug Paraphenelia, Sell to Minor c. 94C, § 32I(b) F Drugs, Manufacture/Distribute Class A Substance c. 94C, § 32 F Drugs, Manufacture/Distribute Class B Substance c. 94C, § 32A F Drugs, Manufacture/Distribute Class C Substance c. 94C, § 32B F Drugs, Manufacture/Distribute Class D Substance c. 94C, § 32C F Drugs, Manufacture/Distribute Class E Substance c. 94C, § 32d(a) M Drugs, Manufacture/Distribute/Dispense Class B Substance c. 94C, § 32A F Drugs, Manufacture/Distribute/Dispense Class a Substance Within c. 94C, § 32J F 1000 Ft. School Drugs, Manufacture/Distribute/Dispense Class B Substance Within 1000 c. 94C, § 32J F Ft. School Drugs, Motor Vehicle Homicide, Negligent Operation c. 90, § 24G(b) F Drugs, Possess Class A Substance c. 94C, § 34 M Drugs, Possess Class A Substance, Intent to Distribute c. 94C, § 32(a) F Drugs, Possess Class B Substance c. 94C, § 34 M Drugs, Possess Class B Substance, Intent to Distribute c. 94C, § 32A(a) F Drugs, Possess Class C Substance, Intent to Distribute c. 94C, § 32B(a) F

5/1/09 101 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. 101 CMR: EXECUTIVE OFFICE OF HEALTH AND HUMAN SERVICES

15.15: continued

Table B (continued)

Crime Name MGL Felony or Misdemeanor

Drugs, Possess Class C Substance, Subsequent Offense c. 94C, § 34 M Drugs, Possess Class D Substance, Intent to Distribute c. 94C, § 32C(a) F Drugs, Possess Class D Substance, Subsequent Offense c. 94C, § 34 M Drugs, Possess Class E Substance, Intent to Distribute c. 94C, § 32D M Drugs, Possess Controlled Substance with Intent to Distribute, c. 94C, § 32(b) F Subsequent Offense Drugs, Possess Counterfeit Substances with Intent to Distribute c. 94C, § 32G F Drugs, Possess Class a Substance with Intent to Distribute Within c. 94C, § 32J F 1000 Ft. School Drugs, Possess Class B Substance with Intent to Distribute Within c. 94C, § 32J F 1000 Ft. School Drugs, Possess Class D Substance with Intent to Distribute Within c. 94C, § 32J F 1000 Ft. School Drugs, Trafficking in Cocaine Within 1000 Ft. School c. 94C, § 32J F Drugs, Trafficking in Heroin Within 1000 Ft. School c. 94C, § 32J F Drugs, Trafficking in Marijuana Within 1000 Ft. School c. 94C, § 32J F Drugs, Unlawfully Obtaining Controlled Substance c. 94C, § 33 F Embezzlement c. 266, §§ 51-52, F 55-59 Enter Without Breaking, Bldg/Ship/Motor Vehicle, Intent to Commit c. 266, § 17 F a Felony, Person in Fear Enter Without Breaking a Dwelling in Night, Intent to Commit Felony c. 266, § 18 F Enter Without Breaking, Truck, with Intent to Commit Felony c. 266, § 20A F Escape by Prisoner c. 268, § 16 F Escape, Furlough c. 268, § 16 F Explosives, Throwing c. 266, § 102 F Explosives, Throw/Place/Explode or Possess with Intent to Injure c. 266, § 102 F Firearm, Carrying Loaded Rifle/Shotgun c. 269, § 12D(a) M Firearm, Carrying Loaded or Unloaded Firearm on a Public Way; c. 269, § 12D(b) F Unenclosed Case Firearm, Discharge Within 500 Ft. of a Building c. 269, § 12E M Firearm, Discharge Within 500 Ft. of a Dwelling or near Highway c. 131, § 58 M Firearm License/ID Card, False c. 140, § 131I F Firearm, Possess Without Fire Arms Id c. 269, § 10(h) M Firearm, Possess of, Serial/ID Number Obliterated c. 269, § 11C F Firearm, Possess of, Serial/ID Number Obliterated, Used c. 269, § 11B F in Commision or Attempted Commision of a Felony Firearm, Sell Without License c. 140, § 128 F Firearm, Shotgun, Barrel Und 18 "Sawed Off", Possess, Subsequent Offense c. 269, § 10(d) F Firearm, Shotgun, Barrel Und 18 "Sawed Off", Possess c. 269, § 10(c) F Firearm Unattended c. 269, § 10(h) F Firearm, Unlawful Possession, Commission Felony c. 265, § 18B F Firearm, Shotgun, Unlawful Possession c. 140, § 129 M Firearm Violation, Carry with Ammunition c. 269, § 10(n) M Forged Instrument, Utter c. 267, § 5 F Fugitive from Justice c. 276, § 20A M Gun Permit, False Information for c. 140, § 129 M Hoax Device/Substance, Possess/Transport/Use c. 266, § 102A½ F Indecent Exposure c. 272, § 53 M Infernal Machine, Possess c. 266, § 102A F Kidnapping Minor by Relative c. 265, § 26A M Kill Beast, Willful & Malicious c. 266, § 112 F Larceny, Motor Vehicle or Trailer c. 266, § 28 F Larceny, Person c. 266, § 25 F

5/1/09 101 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. 101 CMR: EXECUTIVE OFFICE OF HEALTH AND HUMAN SERVICES

15.15: continued

Table B (continued)

Crime Name MGL Felony or Misdemeanor

Larceny, Person 65+ c. 266, § 25 F Larceny by Check under $250 c. 266, § 37 M Larceny by Check over $250 c. 266, § 37 F Larceny Firearm c. 266, § 30 F Larceny in Bldg, Ship, Vessel, or RR Car c. 266, § 20 F Larceny in Truck/Trailer c. 266, § 20B F Larceny over $250 c. 266, § 30 F Larceny under $250 c. 266, § 30 M Larceny, Bank Employee or Officer c. 266, § 52 F Leave Scene after Personal Injury, Motor Vehicle c. 90, § 24(2)(a½)(1) M Lewd & Lascivious Conduct c. 272, § 53 M Lewdness, Open & Gross c. 272, § 16 F Liquor, Procure for Minor c. 138, § 34 M Machine or Sawed off Shot Gun, Possession of c. 269, § 10(c) F Machine Gun, Possession of Without License c. 269, § 10(c) F Manslaughter by Operating under the Influence c. 265, § 13½ F Medical Assistance (Medicaid) Fraud c. 118E, § 40 F Medical Assistance (Medicaid) Kickback c. 118E, § 41 F Motor Vehicle Homicide, Reckless Operation c. 90, § 24G(b) F Motor Vehicle Homicide, under Influence Drugs, Negligent or Reckless c. 90, § 24G(a) F Motor Vehicle, Use of in Commission of Felony c. 90, § 24(2)(a) F Motor Vehicle Homicide, under Influence Liquor c. 90, § 24G(b) F Motor Vehicle Homicide, under Influence Liquor, Negligent or Reckless c. 90, § 24G(b) F Motor Vehicle, Operating after License Revoked for Drunk Driving c. 90, § 23 M Motor Vehicle, Operating under Influence of Drugs, Alcohol c. 90, § 24(1)(a)(1) M Motor Vehicle, Operating under Influence of Drugs, Alcohol, 3rd and c. 90, § 24(1)(a)(1) F Subsequent Offense Motor Vehicle, Operating under Influence of Drugs, Liquor, 3rd and c. 90, § 24 F Subsquent Offense Motor Vehicle, Take Without Authority, Steal Parts c. 266, § 28 F Obscene Materials, Possess with Intent to Distribute c. 272, § 29 F Obscene Literature, Sell to Minor c. 272, § 28 M Obstruction of Justice Common Law M [See C. 279, § 5 Re: Penalty for Common Law Crimes.] Perjury c. 268, § 1 F Prescription; Forgery, Alter c. 94C, § 33(b) F Prescription, Utter False c. 94C, § 33 F Prisoner, Deliver Articles to or from Inmate c. 268, § 31 F Prisoner, Deliver Drugs to c. 268, § 28 F Prostitution/solicitation c. 272, § 53A M Prostitution, Engaging in Sex "John" c. 272, § 53A M Prostitution, Keep House of c. 272, § 24 M Prostitute, Solicit for c. 272, § 8 M Resisting Arrest c. 268, § 32B M Riot c. 269, § 1 M Robbery, Unarmed c. 265, § 19(b) F Robbery, Unarmed, Victim 60+ c. 265, § 19(a) F Shoplifting, 3rd or Subsequent Offense c. 266, § 30A M Stolen Property, Receive, over $250 c. 266, § 60 F Stolen Motor Vehicle, Receive/buy c. 266, § 28(a) F Telecommunications Fraud c. 166, § 42A M Telephone Calls, Annoying or Obscene c. 269, § 14A M

5/1/09 101 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. 101 CMR: EXECUTIVE OFFICE OF HEALTH AND HUMAN SERVICES

15.15: continued

Table B (continued)

Crime Name MGL Felony or Misdemeanor

Unnatural Acts c. 272, § 35 F Vandalize Church/Synagogue/Cemetery c. 266, § 127A F Vandalize School/Church/Educational Bldg c. 266, § 98 F Witness, Intimidate or Retaliate Against c. 268, § 13B F Conspiracy to Commit any of above Table B Crimes Attempts to Commit any of the above Table B Crimes Accessory Before any of the above Table B Crimes

REGULATORY AUTHORITY

101 CMR 15.00: M.G.L. c. 6A, § 16 and c. 71B, § 12C.

5/1/09 101 CMR - 72.1 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 101 CMR: EXECUTIVE OFFICE OF HEALTH AND HUMAN SERVICES

NON-TEXT PAGE

5/1/09 101 CMR - 72.2 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. Docket # 1,070

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 105 CMR 200.000

CHAPTER TITLE: Physical Examination of School Children

AGENCY: Department of Public Health

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. The amendments establish revised requirements for vision and hearing screenings in schools. In place of current requirements for an annual assessment of height and weight, schools will be required to calculate student BMIs in grades 1, 4, 7 and 10 and communicate the findings directly and confidentially to parents. Establishes requirements for school related physical examinations by primary care providers and school physicians, and for vision, hearing and BMI screenings in schools.

REGULATORY AUTHORITY: M.G.L. c. 111, ss. 3 and 5; c. 71, s. 57

AGENCY CONTACT: Christine Horan PHONE: 617-994-9860

ADDRESS: 250 Washington St. Boston, MA, 02108

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

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

Date of public hearing or comment period: February 27, 2009; March 2, 2009

No fiscal effect:

CODE OF MASSACHUSETTS REGULATIONS INDEX - List key subjects that are relevant to this regulation: school physical examination, BMI, hearing and vision screenings, school physicians

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: Modifies existing 105 CMR 200.000. Reduces current requirements for annual height and weight assessments, vision and hearing screenings. Requires calculation of BMIs in specified grades and confidential notice to parents.

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: Apr 13 2009

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1129 DATE: 05/01/2009

EFFECTIVE DATE: 05/01/2009

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: 45 - 48 45 - 48 1141 - 1144 1141 - 1144

04/13/2009 cm

Table of Contents Page

105 CMR 180.000: THE OPERATION, APPROVAL AND LICENSING OF CLINICAL LABORATORIES (continued)

Section 180.030: Licensure and Approval 1054 Section 180.031: Special Projects 1059 Section 180.035: Enforcement Procedures 1059 Section 180.040: Condition - General Requirements 1060 Section 180.041: Standard - Responsibility of Owners 1061 Section 180.042: Standard - Collection Stations and Satellite Laboratories 1061 Section 180.043: Standard - Advertising 1062 Section 180.044: Standard - Reporting of Infectious Diseases 1062 Section 180.045: Condition: Compliance with Federal, State and Local Laws 1063 Section 180.050: Condition - Laboratory Director 1063 Section 180.060: Standard - Laboratory Director: Qualifications 1063 Section 180.070: Standard - Laboratory Director: Duties and Responsibilities 1064 Section 180.100: Condition - Laboratory Supervision 1064 Section 180.105: Standard - General Supervision 1064 Section 180.110: Standard - Technical Supervision 1065 Section 180.115: Standard - General Supervisor: Qualifications 1065 Section 180.120: Standard - General Supervisor: Duties and Responsibilities 1066 Section 180.125: Standard - Technical Supervisor: Qualifications 1066 Section 180.130: Standard - Technical Supervisor: Duties and Responsibilities 1067 Section 180.150: Condition - Technical Personnel 1067 Section 180.155: Standard - Technologist: Qualifications 1067 Section 180.160: Standard - Technologist: Duties and Responsibilities 1069 Section 180.165: Standard - Cytotechnologist: Qualifications 1069 Section 180.170: Standard - Cytotechnologist: Duties and Responsibilities 1069 Section 180.180: Standard - Technician: Duties and Responsibilities 1069 Section 180.190: Standard - Technologist Trainee: Duties and Responsibilities 1070 Section 180.200: Standard - Training Programs 1070 Section 180.250: Condition - Clinical Laboratory Management 1070 Section 180.255: Standard - Laboratory Procedure Manual 1070 Section 180.260: Standard - Facility Management 1070 Section 180.265: Standard - Collection of Specimens 1071 Section 180.270: Standard - Sterilization 1071 Section 180.275: Standard - Disposal of Medical Waste 1071 Section 180.280: Standard - Examinations and Reports 1072 Section 180.285: Standard - Specimen Records 1072 Section 180.290: Standard - Laboratory Report and Record 1072 Section 180.295: Standard - Personnel Policies 1073 Section 180.300: Standard - Special Requirements - Viral Serology (HIV Testing) 1073 Section 180.350: Condition - Quality Control 1074 Section 180.355: Standard - Evaluation of Equipment, Methods, Reagents 1074 Section 180.360: Standard - Adequacy of Facilities, Equipment, Methods 1074 Section 180.365: Standard - Labeling 1075 Section 180.375: Standard - Quality Control Records 1075 Section 180.380: Standard - Surveillance by the General Supervisor 1075 Section 180.385: Standard - Instructions for Collection, Preservation, Transportation 1075 Section 180.390: Standard - Quality Control: Specialty Areas 1075 Section 180.395: Standard - Microbiology: Quality Control 1075 Section 180.400: Standard - Immunology: Quality Control 1076 Section 180.405: Standard - Clinical Chemistry: Quality Control 1077 Section 180.410: Standard - Immunohematology: Quality Control 1077 Section 180.415: Standard - Hematology: Quality Control 1078

8/6/99 105 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. 105 CMR: DEPARTMENT OF PUBLIC HEALTH

Table of Contents Page

105 CMR 180.000: THE OPERATION, APPROVAL AND LICENSING OF CLINICAL LABORATORIES (continued)

Section 180.420: Standard - Exfoliative Cytology, Histopathology, Oral Pathology: Quality Control 1078 Section 180.425: Standard - Radiobioassay: Quality Control 1078 Section 180.430: Standard - Histocompatibility: Quality Control 1078 Section 180.450: Condition - Proficiency Evaluation 1079 Section 180.455: Standard - Proficiency Test Program Participation 1079 Section 180.460: Standard - Successful Participation 1080 Section 180.475: Severability 1080

(105 CMR 181.000 THROUGH 199.000: RESERVED) 1081

5/1/09 105 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. 105 CMR: DEPARTMENT OF PUBLIC HEALTH

Table of Contents Page

105 CMR 200.000: PHYSICAL EXAMINATION OF SCHOOL CHILDREN 1141

Section 200.001: Purpose 1141 Section 200.002: Citation 1141 Section 200.100: Physical Examinations Required by Primary Care Provider or School Physician 1141 Section 200.200: School Physicians 1141 Section 200.300: Procedures for Physical Examinations 1142 Section 200.400: Vision and Hearing Screenings 1142 Section 200.500: Growth and Development Screenings 1143 Section 200.600: Local Authority to Establish Higher Requirements 1143 Section 200.610: Religious Objection 1144 Section 200.620: Waivers of Requirements 1144 Section 200.630: Health Record Forms 1144

(105 CMR 201.000 through 204.000: RESERVED) 1145

105 CMR 205.000: MINIMUM STANDARDS GOVERNING MEDICAL RECORDS AND THE CONDUCT OF PHYSICAL EXAMINATIONS IN CORRECTIONAL FACILITIES 1153

Section 205.001: Purpose 1153 Section 205.002: Authority 1153 Section 205.003: Citation 1153 Section 205.010: Scope 1153 Section 205.020: Definitions 1154

Physical Examinations Section 205.100: Inmates to be Screened 1154 Section 205.101: Inmates to Have Physical Examination 1154 Section 205.102: Examinations to be Conducted by Licensed Personnel 1154 Section 205.103: Examinations to be Conducted in Privacy 1154 Section 205.104: Results of Examination to be Discussed with Inmate 1155 Section 205.105: Equipment Necessary for Physical Examination 1155 Section 205.200: Content of Physical Examination 1155

Medical Record Section 205.500: Medical Record to be Maintained 1156 Section 205.501: Record to be Accurate 1156 Section 205.502: Responsibility of Physician 1157 Section 205.503: Record to be Transferred with Inmates 1157 Section 205.504: Confidentiality 1157 Section 205.505: Inspection of Records 1157 Section 205.600: Contents of Medical Record 1157 Section 205.601: Additional Requirements of Medical Record 1158 Section 205.602: All Visits to be Recorded 1158 Section 205.603: Identification and Filing 1158 Section 205.604: Storage Space 1158 Section 205.700: Severability 1158 Section 205.701: Effective Date 1158

(105 CMR 206.000 through 209.000: RESERVED) 1159

5/1/09 105 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. 105 CMR: DEPARTMENT OF PUBLIC HEALTH

Table of Contents Page

105 CMR 210.000: THE ADMINISTRATION OF PRESCRIPTION MEDICATIONS IN PUBLIC AND PRIVATE SCHOOLS 1171

Section 210.001: Purpose 1171 Section 210.002: Definitions 1171 Section 210.003: Policies Governing the Administration of Prescription Medications in Schools 1172 Section 210.004: Policies Regarding Delegation of Prescription Medication Administration 1172 Section 210.005: Responsibilities of the School Nurse Regarding Prescription Medication Administration 1173 Section 210.006: Self Administration of Prescription Medications 1177 Section 210.007: Training of School Personnel Responsible for Administering Prescription Medications 1178 Section 210.008: Handling, Storage and Disposal of Prescription Medications 1178 Section 210.009: Documentation and Record-Keeping 1179 Section 210.100: Administration of Epinephrine 1180

(105 CMR 211.000 through 219.000: RESERVED) 1181

105 CMR 220.000: IMMUNIZATION OF STUDENTS BEFORE ADMISSION TO SCHOOL 1197

Section 220.100: Purpose 1197 Section 220.200: Authority 1197 Section 220.300: Scope 1197 Section 220.400: Definitions 1197 Section 220.500: Immunization Requirements for Elementary, Middle and High School Student 1197 Section 220.600: Immunization Requirements for Postsecondary Students 1198 Section 220.700: Meningococcal Vaccine Requirement for Students at Secondary and Postsecondary Schools which Provide or License Housing 1199

105 CMR 221.000: PROMOTING AWARENESS OF MENINGOCOCCAL DISEASE AND VACCINE 1201

Section 221.100: Purpose 1201 Section 221.200: Authority 1201 Section 221.200: Definitions 1201 Section 221.300: Dissemination of Information about Meningococcal Disease and Vaccine 1202

(105 CMR 222.000 through 229.000: RESERVED) 1203

105 CMR 230.000: HEALTHY START PROGRAM 1207

Section 230.001: Purpose 1207 Section 230.002: Authority 1207 Section 230.003: Scope 1207 Section 230.010: Defintions 1207 Section 230.100: Application Process 1207 Section 230.200: Eligibility 1209 Section 230.300: Duration of Benefits 1210 Section 230.400: Reimbursement of Service 1210 Section 230.500: Delivery of Service/Standards of Care 1212 Section 230.600: Client Appeal Process 1212 Section 230.610: Initiation of an Appeal 1212 Section 230.620: Pre-Hearing Conference 1212 Section 230.630: Hearing 1213

(105 CMR 231.000 through 239.000: RESERVED) 1215

2/11/05 105 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. 105 CMR: DEPARTMENT OF PUBLIC HEALTH

105 CMR 200.000: PHYSICAL EXAMINATION OF SCHOOL CHILDREN

Section

200.001: Purpose 200.002: Citation 200.100: Physical Examinations Required by Primary Care Provider or School Physician 200.200: School Physicians 200.300: Procedures for Physical Examinations 200.400: Vision and Hearing Screenings 200.500: Growth and Development Screenings 200.600: Local Authority to Establish Higher Requirements 200.610: Religious Objection 200.620: Waivers of Requirements 200.630: Health Record Forms

200.001: Purpose

The purpose of 105 CMR 200.000 is to identify and take appropriate actions with respect to disabilities and medical conditions of school children as soon as possible so as to enable all children to obtain the fullest benefit of their educational opportunities and to identify and take appropriate action with respect to contagious or communicable diseases among students. School screenings under 105 CMR 200.000 are intended to supplement, not supplant, oversight of care by the student's primary care provider.

200.002: Citation

105 CMR 200.000 shall be known, and may be cited as, 105 CMR 200.000: Physical Examination of School Children.

200.100: Physical Examinations Required by Primary Care Provider or School Physician

(A) The school health program should encourage the performance of the physical examination required in 105 CMR 200.100 by the student's own physician, nurse practitioner or physician assistant whenever possible. Said health care provider shall record the results of the physical examination on health record forms approved by the Department of Public Health (Department) and provide a copy of this record containing the results of the examination and the physician's, physician assistant's or nurse practitioner's recommendations to the school. With the consent of the parent or legal guardian, the student's primary care provider shall be furnished with a copy of the record of a physical examination performed in the school.

(B) The school committee or board of health shall ensure that every student in the public schools be separately and carefully examined by a duly licensed physician, nurse practitioner or physician assistant, as follows: (1) within one year prior to entrance to school or within 30 days after school entry and at intervals of either three or four years thereafter. A student transferred from another school system shall be examined as an entering student. Health records transferred from the student's previous school may be used to determine compliance with this requirement; (2) students under 16 and over 14 years of age requesting employment certificates; (3) prior to a student's participation in competitive athletics, on an annual basis.

200.200: School Physicians

(A) The school committee or the board of health shall provide the services of a school physician to carry out physical examinations on such children who, because of hardship, do not have this service performed by the student's physician, nurse practitioner or physician assistant. Every reasonable effort shall be made to link such students with a primary care provider.

(B) The school committee or the board of health shall ensure that a student in the public schools, if not examined by the student's primary care provider, is examined by the school physician under following circumstances:

5/1/09 105 CMR - 1141 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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

200.200: continued

(1) frequent absences due to unexplained illness; (2) known or suspected physical disabilities or medical conditions that require appraisal; (3) referral from a teacher-nurse conference because the student is not making expected progress in school or because of signs of illness noted by the teacher or nurse; and (4) referral by the school nurse.

(C) The school physician shall provide consultation to the school health program including: (1) interpretation of the student's health situation to the school personnel; (2) assistance to the teacher and school nurse in meeting the health needs of the student to the extent possible in the school environment; and (3) interpretation of the school health program to the student's primary care provider and parents.

(D) The services of the school physician shall be coordinated in the total school health program. She/he shall take reasonable measures for the control of communicable disease and give assistance in the formulation of the health education program.

(E) The school physician shall examine a student at any time to determine the presence or absence of communicable or contagious diseases.

(F) The school physician shall promptly notify the student's parent(s) or legal guardian(s) of any disabilities or medical conditions found during a physical examination of a student. The family shall be encouraged to take the student to the student's primary care provider.

200.300: Procedures for Physical Examinations

(A) Physical examinations shall be done in a manner which is consistent with professional standards of practice, the well-being of the child and applicable confidentiality requirements. Rectal and vaginal examinations shall not be done by the school physician.

(B) All physical examinations shall be done in the presence of a third person and with a reasonable degree of privacy. The child may be undressed only to the extent necessary to permit an adequate appraisal.

(D) The physical examination shall include as needed a conference with the parent or student concerning the student's growth and development and the findings of the physical examination.

200.400: Vision and Hearing Screenings

(A) In accordance with M.G.L. c. 71, § 57, upon entering kindergarten or within 30 days after school entry, the parent or guardian of each child shall present certification that the student within the previous 12 months has passed a vision screening conducted by personnel approved by the Department. For students who fail the screening and for students diagnosed with neurodevelopmental delay, evidence of a comprehensive eye examination meeting the requirements of M.G.L. c. 71, § 57 shall be provided to the school.

(B) The school committee or board of health shall cause the vision of each student in the public schools to be screened in the year of school entry, annually through grade 5 (or by age 11 in ungraded classrooms), once in grades 6 through 8 (or ages 12 through 14 in ungraded classrooms) and once in grades 9 through 12 (or ages 15 through 18 in ungraded classrooms). The vision of each student shall be tested by means of the Massachusetts Vision Test or other comparable method approved by the Massachusetts Department of Public Health.

5/1/09 105 CMR - 1142 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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

200.400: continued

(C) The school committee or board of health shall cause the hearing of each student in the public schools to be screened in the year of school entry and annually through grade 3 (or by age nine in the case of ungraded classrooms), once in grades 6 through 8 (ages 12 through 14 in the case of ungraded classrooms), and once in grades 9 through 12 (ages 15 through 18 in the case of ungraded classrooms). The hearing of each student shall be tested by means-of some form of discrete frequency hearing test such as the Massachusetts Hearing Test or comparable method approved by the Department of Public Health.

(D) Screenings of sight and hearing shall be performed by teachers, physicians, optometrists, nurses or others approved by the Department for this purpose, in accordance with guidelines of the Department.

(E) For any student who does not pass a vision or hearing screening, a written plan shall be developed by the school nurse, in consultation to the extent possible with a student's parent or legal guardian, for appropriate follow up of the student. With the consent of the parent or legal guardian, the student's primary care provider shall be furnished with a copy of the record of screening tests performed in the school.

200.500: Growth and Development Screenings

Each school committee or board of health shall adopt policies and procedures to ensure that the Body Mass Index (BMI) and corresponding percentile of each student in grades 1, 4, 7, and 10 (or, in the case of ungraded classrooms, by a student's seventh, 10th, 13th and 16th birthday) is calculated and reported directly and confidentially to a parent or legal guardian.

(A) Measurement of weight and height shall be done by trained school personnel or others approved by the Department for this purpose, and in accordance with guidelines of the Department. Prior notice of the screening and the benefits of the screening shall be provided to the parent or legal guardian by any reasonable means. Every effort shall be made to protect the privacy of the student during the screening process and in the communication of information about the student's BMI to the parent or legal guardian.

(B) A report of each student's BMI and percentile, along with easily understood informational and explanatory materials provided or approved by the Department on BMI, healthy eating and physical activity, shall be mailed or otherwise directly communicated in writing to the parent or guardian of the student, in accordance with guidelines of the Department. The materials shall indicate that questions about a student's healthy weight should be discussed with the student's primary care provider.

(C) The Department shall be provided annually with student BMI data, by school or school district, as specified in guidelines of the Department.

(D) A copy of the student's BMI score shall be maintained in the student's school health record. With the consent of the parent or legal guardian, a copy shall be provided to the student's primary care provider.

(E) Parents and legal guardians shall be provided with an opportunity to request, in writing, that their child not participate in the program.

(F) These requirements shall be met by June 30, 2010 by public school systems receiving direct funding from the Department for school nursing services as of May 1, 2009 and by June 30, 2011 by all other public schools.

200.600: Local Authority to Establish Higher Requirements

105 CMR 200.100 through 200.500 are minimum regulations for the examination of school children in Massachusetts. The school committee or board of health may provide for more frequent and more specialized examinations or both if it wishes to do so.

5/1/09 105 CMR - 1143 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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

200.610: Religious Objection

In accordance with M.G.L. c. 71, § 57, a student shall be exempt from physical examinations or screenings on religious grounds, upon written request of the parent or legal guardian, except with respect to communicable diseases.

200.620: Waivers of Requirements

Except as provided by law, the Massachusetts Department of Public Health shall have the discretionary power to waive any of 105 CMR 200.100 through 200.500 upon written request.

(A) The request for a waiver must be accompanied by an alternative plan to the regulation that would adequately protect the health of the school child.

(B) Waiver requests shall not be based upon reductions in the budget for school health or granted on such basis.

(C) Waivers may be granted for periods up to one year and may be renewed upon demonstration of improvement in school health programs.

200.630: Health Record Forms

Results of required health appraisals shall be recorded in detail on health record forms provided or approved by the Massachusetts Department of Public Health.

REGULATORY AUTHORITY

105 CMR 200.000: M.G.L. c. 111, § 3 and 5; c. 71, § 57.

5/1/09 105 CMR - 1144 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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 # 5821

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

CHAPTER NUMBER: 114.3 CMR 4.00

CHAPTER TITLE: Rates for Community Health Centers

AGENCY: Division of 114.3 CMR Health Care Finance and Policy

THIS REGULATION WAS ORIGINALLY ADOPTED AS AN EMERGENCY: Published in Massachusetts Register Number: 1124 Date: 02/20/2009 PRIOR NOTIFICATION AND/OR APPROVAL - If prior notification to and/or approval of the Governor, Legislature or others was required, list each notification, and/or approval and date, including notice to the Local Government Advisory Commission. John Robertson (2/3/09) Marilyn Contreas (2/3/09) MA Municipal Assoc. Dept. of Housing & Com. Dev. 1 Winthrop Sq, Boston MA 02110 1 Congress St, Boston MA 02114

AGENCY CONTACT: Nancy Panaro, General Counsel PHONE: 617-988-3128

ADDRESS: 2 Boylston Street, Boston, MA 02116

ATTESTATION - The regulation described herein and attached hereto is a true copy of the regulation adopted by this agency. ATTEST: SIGNATURE ON FILE Apr 10 2009 SIGNATURE: DATE: Publication - To be completed by the Regulations Division MASSACHUSETTS REGISTER NUMBER: 1129 DATE: 05/01/2009 EFFECTIVE DATE: 02/07/2009 CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: 11, 12 11, 12 597 - 604 597 - 604

04/10/2009 cm

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114.3 CMR 4.00: RATES FOR COMMUNITY HEALTH CENTERS 597

Section 4.01: General Provisions 597 Section 4.02: Definitions 597 Section 4.03: General Rate Provisions and Maximum Allowable Fees 599 Section 4.04: Allowable Fees 599 Section 4.05: Adjustment to Ensure Title XIX Access or Quality 602 Section 4.06: Program Innovation Provision 602 Section 4.07: Filing and Reporting Requirements 603 Section 4.09: Severability 604

(114.3 CMR 5.00: RESERVED) 607

114.3 CMR 6.00: RATES OF PAYMENT FOR MENTAL HEALTH SERVICES PROVIDED IN COMMUNITY HEALTH CENTERS AND MENTAL HEALTH CENTERS 609

Section 6.01: General Provisions 609 Section 6.02: General Definitions 609 Section 6.03: Rate Provisions 612 Section 6.04: Reporting Requirements and Sanctions 614 Section 6.05: Severability 615

114.3 CMR 7.00: PSYCHIATRIC DAY TREATMENT CENTER SERVICES 619

Section 7.01: General Provisions 619 Section 7.02: General Definitions 619 Section 7.03: General Rate Provisions and Maximum Allowable Rates 619 Section 7.04: Filing and Reporting Requirements 620 Section 7.05: Severability 621

114.3 CMR 8.00: OUTPATIENT TUBERCULOSIS CONTROL SERVICES 623

Section 8.01: General Provisions 623 Section 8.02: Definitions 623 Section 8.03: General Rate and Service Provisions 624 Section 8.04: Severability 624

114.3 CMR 9.00: INDEPENDENT LIVING SERVICES FOR THE PERSONAL CARE ATTENDANT PROGRAM 627

Section 9.01: General Provisions 627 Section 9.02: Definitions 627 Section 9.03: General Rate Provisions 630 Section 9.04: Filing and Reporting Requirements 632.1 Section 9.05: Severability 632.2

5/1/09 114 CMR - 11 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 114 CMR: DIVISION OF HEALTH CARE FINANCE AND POLICY

Table of Contents Page

114.3 CMR 10.00: ADULT DAY HEALTH SERVICES 633

Section 10.01: General Provisions 633 Section 10.02: General Definitions 633 Section 10.03: Rate Provisions 634 Section 10.04: Reporting Requirements 634 Section 10.05: Severability 635

(114.3 CMR 11.00: RESERVED) 637

114.3 CMR 12.00: FAMILY PLANNING SERVICES 647

Section 12.01: General Provisions 647 Section 12.02: General Definitions 647 Section 12.03: General Rate Provisions 648 Section 12.04: Severability 650.1

114.3 CMR 13.00: RATES FOR FREESTANDING CLINICS PROVIDING ABORTION AND STERILIZATION SERVICES 651

Section 13.01: General Provisions 651 Section 13.02: General Definitions 651 Section 13.03: General Rate Provisions 651 Section 13.04: Reporting Requirement 653 Section 13.05: Severability 654

114.3 CMR 14.00: DENTAL SERVICES 655

Section 14.01: General Provisions 655 Section 14.02: General Definitions 655 Section 14.03: General Rate Provisions and Maximum Fees 657 Section 14.04: Allowable Fees: Anesthesia Services (Hospital) 657 Section 14.05: Allowable Fees: Non-hospital Services 657 Section 14.06: Allowable Fees: Hospital Services 668.1 Section 14.07: Severability of the Provisions of 114.3 CMR 14.00 668.1

114.3 CMR 15.00: VISION CARE SERVICES AND OPTHALMIC MATERIALS 669

Section 15.01: General Provisions 669 Section 15.02: General Definitions 670 Section 15.03: General Rate Provisions 671 Section 15.04: Allowable Fees for Vision Care Services 672 Section 15.05: Severability 676.6

2/20/09 114 CMR - 12 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 114.3 CMR: DIVISION OF HEALTH CARE FINANCE AND POLICY

114.3 CMR 4.00: RATES FOR COMMUNITY HEALTH CENTERS

Section

4.01: General Provisions 4.02: Definitions 4.03: General Rate Provisions and Maximum Allowable Fees 4.04: Allowable Fees 4.05: Adjustment to Ensure Title XIX Access or Quality 4.06: Program Innovation Provision 4.07: Filing and Reporting Requirements 4.08: Severability

4.01: General Provisions

(1) Scope, Purpose and Effective Date. 114.3 CMR 4.00 governs the payment rates effective February 7, 2009, to be used by Governmental Units and workers compensation insurers for Community Health Center services.

(2) Coverage. The rates of payment under 114.3 CMR 4.00 shall constitute full compensation for community health center services provided to Publicly-aided Individuals as well as full compensation for necessary administration, professional supervision, and supporting services associated with patient care. Any client resources or third party payments received on behalf of a publicly assisted client shall reduce, by that amount, the amount of the purchasing Governmental Unit’s obligation for services rendered to the publicly assisted client.

(3) Disclaimer of Authorization of Services. 114.3 CMR 4.00 is not authorization for or approval of the services for which rates are determined. The purchasing governmental agency or insurer is responsible for the definition, authorization, and approval of services.

(4) Coding Updates and Corrections. The Division may publish procedure code updates and corrections in the form of an Administrative Bulletin. Updates may reference coding systems including but not limited to the American Medical Association’s Current Procedural Terminology (CPT). The publication of such updates and corrections will list: (a) codes for which only the code numbers change, with the corresponding cross references between existing and new codes; (b) deleted codes for which there are no corresponding new codes; and (c) codes for entirely new services that require pricing. The Division will list these codes and apply individual consideration (I.C.) reimbursement for these codes until appropriate rates can be developed.

(5) Administrative Bulletins. The Division may issue administrative information bulletins to clarify its policy on substantive provisions of 114.3 CMR 4.00 or to publish procedure code updates and corrections. In addition, the Division may issue administrative information bulletins which specify the information and documentation necessary to implement 114.3 CMR 4.00.

(6) Authority. 114.3 CMR 4.00 is adopted pursuant to M.G.L. c. 118G.

4.02: Definitions

Meaning of Terms. As used in 114.3 CMR 4.00, unless the context requires otherwise, terms shall have the meanings ascribed in 114.3 CMR 4.02.

Certification. Determination by the Office of MassHealth pursuant to 130 CMR 405.000.

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

Cost Report. The document used to report cost and other financial and statistical data in a format requested by and approved by the Division.

Division. The Division of Health Care Finance and Policy, established under M.G.L. c. 118G.

5/1/09 (Effective 2/7/09) 114.3 CMR - 597 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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

4.02: continued

Early and Periodic Screening, Diagnosis and Treatment Services. A face-to-face meeting between an Early and Periodic Screening, Diagnosis and Treatment Services recipient and a physician, physician assistant, nurse practitioner, or registered nurse for the purposes of performing a comprehensive health assessment in accordance with MassHealth’s Early and Periodic Screening, Diagnosis and Treatment Services regulations.

Emergency Care. Medical care required immediately due to illness or injury with symptoms of sufficient severity that a prudent lay person would believe there is an immediate threat to life or high risk of permanent damage to the individual’s health. Emergency conditions are those which require immediate medical treatment at the most accessible hospital equipped to provide emergency services. Emergency care does not include elective, primary, or urgent care.

Enhanced Global Delivery. The provision and supervision of case management, perinatal counseling (including, but not limited to, obstetrical-risk assessment and monitoring), in addition to pelvic or cesarean delivery, all routine prenatal visits, and on postpartum visit.

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

Group Medical Visit. A session conducted by a physician, physician assistant, nurse practitioner, or registered nurse to introduce appropriate health care topics which could include but are not limited to preventive medicine approaches to personal health and safety and to present self-help and personal management information concerning family medicine, adult medicine, sex education, and chronic illness.

Individual Medical Visit. A face-to-face meeting between a recipient and a physician, physician assistant, nurse practitioner, or registered nurse within the community health center setting, for purposes of examination, diagnosis, or treatment.

Individual Mental Health Visit. A face-to-face meeting at the center between a recipient and a psychiatrist for mental health examination and diagnosis. An Individual Mental Health Visit conducted by a person other than a psychiatrist (for example, a psychologist, nurse, physician assistant, social worker, counselor) or provided in a Community Health Center certified as a mental health center is not reimbursable according to the provisions of 114.3 CMR 4.00. Other mental health services provided in a community health centers so certified may be reimbursed according to 114.3 CMR 6.00: Rates of Payment for Mental Health Services Provided in Community Health Centers and Mental Health Centers.

New Program. A community health center which has experienced less than one year of operation as a Provider of community health care services, or has instituted a significant change in service.

Nurse-midwife Medical Visit. A face-to-face meeting at the center between a recipient and a Nurse-midwife for prenatal and postpartum services. If a center chooses to be reimbursed by the Enhanced Global Delivery rate set forth in 114.3 CMR 16.00, a nurse-midwife medical visit is not reimbursable.

Physicians. Includes all MDs and Doctors of Osteopathic Medicine (DOs), but does not include psychiatrists.

Primary or Elective Care. Medical care required by individuals or families that is appropriate for the maintenance of health and the prevention of illness. This care includes but is not limited to physical examination, diagnosis and management of illness, ongoing health maintenance, accident prevention and referral when necessary. This care does not require the specialized resources of a hospital emergency department.

Provider. A community health center which meets the conditions of participation that have been or may be adopted by a Governmental Unit purchasing community health center services. Minimally, a community health center must meet the following criteria:

5/1/09 (Effective 2/7/09) 114.3 CMR - 598 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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

4.02: continued

(a) In State. 1. Be licensed as a freestanding clinic by the Massachusetts Department of Public Health pursuant to M.G.L. c. 111, § 51; and 2. meet the qualifications for certification (or provisional certification) by and enter into a provider agreement with MassHealth pursuant to 130 CMR 405.000. (b) Out of State. Meet criteria for Provider eligibility and enter into a provider agreement with MassHealth pursuant to 130 CMR 405.000.

Publicly-aided Individual. A person who receives health care and other services a Governmental Unit is in whole or in part liable under a statutory program of public assistance.

Supporting Services. These include, but are not limited to, Health Education, Health Outreach, Medical Social Work Services, Nutrition Services (other than the WIC program), and Translation Services.

Urgent Care. Services required promptly to prevent impairment of health due to symptoms that a prudent lay person would believe require medical attention, but are not life-threatening and do not pose a high risk of permanent damage to an individual’s health. Urgent care does not include elective, emergency, or primary care.

4.03: General Rate Provisions and Maximum Allowable Fees

(1) Rate Determination. Rates of payment for authorized community health center services to which 114.3 CMR 4.00 applies are the lower of: (a) The Provider’s usual charge to the general public (other than Publicly-aided Individuals or industrial accident patients) for the same or similar services; or (b) The schedule of allowable fees set forth in 114.3 CMR 4.04.

(2) Individual Consideration (I.C.). Non-listed procedures and services designated I.C. are individually considered items. The Provider's bill for such an item must be accompanied by a brief report of the procedure or service provided, including a pertinent history and diagnosis, a description of the service rendered and the length of time spent with the patient. In making the determination of whether the service is appropriately classified as an individually considered item, the purchasing agency shall use the following criteria: (a) policies, procedures and practices of other third party purchasers of care, both governmental and private; (b) the severity and complexity of the patient's disorder or disability; (c) prevailing provider ethics and accepted practice; and (d) time, degree of skill, and cost including equipment cost required to perform the procedure(s).

4.04: Allowable Fees

(1) Allowable Fees – Effective February 7, 2009 through June 30, 2009 (a) Medical Diagnosis and Treatment.

Service Code Allowable Fee Service Description

T1015 $141.14 Individual Medical Visit T1015-HQ $28.22 Group Medical Visit 99050 $48.40 Urgent Care Provided Monday through Friday from 5:00 P.M. to 6:59 A.M., and Saturday from 7:00 A.M. to Monday 6:59 A.M.. (This code may be billed in addition to the individual medical visit.) T1015-TH $141.14 Nurse-midwife Medical Visit

5/1/09 (Effective 2/7/09) 114.3 CMR - 599 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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

4.04: continued

(b) Early and Periodic Screening, Diagnosis and Treatment Services.

Service Code Allowable Fee Service Description

99381 $148.20 Initial evaluation and management of a healthy individual requiring a comprehensive history, a comprehensive examination, the identification of risk factors, and the ordering of appropriate laboratory/diagnostic procedures; infant (age under one year) 99382 $148.20 Initial evaluation and management of a healthy individual requiring a comprehensive history, a comprehensive examination, the identification of risk factors, and the ordering of appropriate laboratory/diagnostic procedures; early childhood (age one through four years) 99383 $148.20 Initial evaluation and management of a healthy individual requiring a comprehensive history, a comprehensive examination, the identification of risk factors, and the ordering of appropriate laboratory/diagnostic procedures; late childhood (age five through 11 years) 99384 $148.20 Initial evaluation and management of a healthy individual requiring a comprehensive history, a comprehensive examination, the identification of risk factors, and the ordering of appropriate laboratory/diagnostic procedures; adolescent (age 12 through 17 years) 99385 $148.20 Initial evaluation and management of a healthy individual requiring a comprehensive history, a comprehensive examination, the identification of risk factors, and the ordering of appropriate laboratory/diagnostic procedures; (18 through 39 years) 99391 $148.20 Periodic reevaluation and management of a healthy individual requiring a comprehensive history, comprehensive examination, the identification of risk factors and the ordering of appropriate laboratory/diagnostic procedures, established patient; infant (age under one year) 99392 $148.20 Periodic reevaluation and management of a healthy individual requiring a comprehensive history, comprehensive examination, the identification of risk factors and the ordering of appropriate laboratory/diagnostic procedures, established patient; early childhood (age one through four years) 99393 $148.20 Periodic reevaluation and management of a healthy individual requiring a comprehensive history, comprehensive examination, the identification of risk factors and the ordering of appropriate laboratory/diagnostic procedures, established patient; late childhood (age five through 11 years) 99394 $148.20 Periodic reevaluation and management of a healthy individual requiring a comprehensive history, comprehensive examination, the identification of risk factors and the ordering of appropriate laboratory/diagnostic procedures, established patient; adolescent (age 12 through 17 years) 99395 $148.20 Periodic reevaluation and management of a healthy individual requiring a comprehensive history, comprehensive examination, the identification of risk factors and the ordering of appropriate laboratory/diagnostic procedures, established patient; (18 through 39 years)

Service Code Allowable Fee Service Description

90899 $141.14 Individual Mental Health Visit

5/1/09 (Effective 2/7/09) 114.3 CMR - 600 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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

4.04: continued

(d) Other Community Health Center Services. The rates of payment for other community health center services, provided to publicly-aided patients shall be based on the applicable regulation and rates of payment for the specific care and services rendered as issued by the Division or the Governmental Unit where the latter's schedules have not been superseded by 114.3 CMR 4.00. Rules for such care and services shall include, but not be limited to, those furnished by dentists, pharmacies, independent clinical laboratories, optometrists, opticians, podiatrists, psychologists, and other individual practitioners and non-institutional providers.

(2) Allowable Fees – Effective July 1, 2009. (a) Medical Diagnosis and Treatment.

Service Code Allowable Fee Service Description

T1015 $122.47 Individual Medical Visit T1015-HQ $24.49 Group Medical Visit 99050 $41.37 Urgent Care Provided Monday through Friday from 5:00 P.M. to 6:59 A.M., and Saturday from 7:00 A.M. to Monday 6:59 A.M.. (This code may be billed in addition to the individual medical visit.) T1015-TH $122.47 Nurse-midwife Medical Visit

(b) Early and Periodic Screening, Diagnosis and Treatment Services.

Service Code Allowable Fee Service Description

99381 $128.60 Initial evaluation and management of a healthy individual requiring a comprehensive history, a comprehensive examination, the identification of risk factors, and the ordering of appropriate laboratory/diagnostic procedures; infant (age under one year) 99382 $128.60 Initial evaluation and management of a healthy individual requiring a comprehensive history, a comprehensive examination, the identification of risk factors, and the ordering of appropriate laboratory/diagnostic procedures; early childhood (age one through four years) 99383 $128.60 Initial evaluation and management of a healthy individual requiring a comprehensive history, a comprehensive examination, the identification of risk factors, and the ordering of appropriate laboratory/diagnostic procedures; late childhood (age five through 11 years) 99384 $128.60 Initial evaluation and management of a healthy individual requiring a comprehensive history, a comprehensive examination, the identification of risk factors, and the ordering of appropriate laboratory/diagnostic procedures; adolescent (age 12 through 17 years) 99385 $128.60 Initial evaluation and management of a healthy individual requiring a comprehensive history, a comprehensive examination, the identification of risk factors, and the ordering of appropriate laboratory/diagnostic procedures; (18 through 39 years) 99391 $128.60 Periodic reevaluation and management of a healthy individual requiring a comprehensive history, comprehensive examination, the identification of risk factors and the ordering of appropriate laboratory/diagnostic procedures, established patient; infant (age under one year) 99392 $128.60 Periodic reevaluation and management of a healthy individual requiring a comprehensive history, comprehensive examination, the identification of risk factors and the ordering of appropriate laboratory/diagnostic procedures, established patient; early childhood (age one through four years)

5/1/09 (Effective 2/7/09) 114.3 CMR - 601 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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

4.04: continued

Service Code Allowable Fee Service Description (continued)

99393 $128.60 Periodic reevaluation and management of a healthy individual requiring a comprehensive history, comprehensive examination, the identification of risk factors and the ordering of appropriate laboratory/diagnostic procedures, established patient; late childhood (age five through 11 years) 99394 $128.60 Periodic reevaluation and management of a healthy individual requiring a comprehensive history, comprehensive examination, the identification of risk factors and the ordering of appropriate laboratory/diagnostic procedures, established patient; adolescent (age 12 through 17 years) 99395 $128.60 Periodic reevaluation and management of a healthy individual requiring a comprehensive history, comprehensive examination, the identification of risk factors and the ordering of appropriate laboratory/diagnostic procedures, established patient; (18 through 39 years)

Service Code Allowable Fee Service Description

90899 $122.47 Individual Mental Health Visit

4.05: Adjustment to Ensure Title XIX Access or Quality

A Provider may request an adjustment of rates if it can demonstrate that access to service delivery is threatened. In order to qualify, the Provider must obtain certification from the Office of Medicaid that, without an increase in rates, access to services to Medicaid recipients will be jeopardized or that the quality of service will fall below levels acceptable to the Office of Medicaid and required by Title XIX. If the Office of Medicaid makes such a certification, the Provider may submit an application for a rate adjustment. The Provider’s application must include a copy of the Office of Medicaid certification, the number of clients in need of the particular service, the number of visits required, evidence of the direct relationship between services and the cost of providing care and the minimal additional costs to adequately provide the services. The Division shall review and act on a request for a change in rates within 60 days of the receipt of a completed application.

4.06: Program Innovation Provision

(1) Review of Program Innovation Applications. A Provider may apply for a prospective adjustment of its Medical Visit Rate or establishment of a rate separate from its Medical Visit Rate in order to implement a high priority policy initiative sponsored by a Governmental Unit of the Commonwealth. The Division shall review and act on a request for a prospective change in rate or establishment of a rate separate from the Medical Visit Rate within 60 days after receipt of a program innovation application consisting of, but not limited to: a statement of support from the sponsoring state agency which would bear the majority or resultant cost increases; a description of the purpose and scope of the program innovation, including number of personnel involved and proposed implementation process; and a detailed budget of expected additional costs and project volume associated with the program innovation.

5/1/09 (Effective 2/7/09) 114.3 CMR - 602 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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

4.06: continued

(2) Criteria. An agency may apply for a prospective change in rate or establishment of a rate separate from the Medical Visit Rate on the basis of implementing a program innovation which accomplishes current high-priority policy initiatives of a state agency, in which timely implementation is essential.

(3) Implementation Schedule. The Division will not approve an application for an adjustment in rate or establishment of a rate separate from the Medical Visit Rate due to a program innovation unless the Provider demonstrates that it will implement the program within three months of the effective date of the new rate. Dates of implementation and supportive documentation must accompany the application. The effective date of an approved rate will be the date on which the most costs are incurred by the agency for the implementation of the program. Evidence of expenditures must be submitted to the Division within three months of the effective date of the approved rate. The Division reserves the right to lower the rate retroactive to the date on which the program innovation became effective if the program innovation is not implemented or if actual costs are lower than projected.

4.07: Filing and Reporting Requirements

(1) Required Reports: Existing Providers. Unless exempted, each Provider must file the following information according to the schedule in 114.3 CMR 4.07(4). (a) One electronic and two paper copies of a Division approved community health center cost report and any supplemental schedules as supplied and/or required by the Division. (b) Two paper copies of financial statements certified by a certified public accountant. In the absence of certified statements, the agency may submit uncertified statements or a Balance Sheet and Operating Statement prepared by the health center. (c) One electronic copy of the Uniform Financial Statement and Independent Auditor’s Report completed in accordance with the filing requirements of the Operational Services Division, Department of Administration and Finance, if submission is required by the Operational Services Division. (d) One paper copy of the Medicare Federally Qualified Health Center Cost Report, as filed with the Medicare fiscal intermediary, if submission is required by Centers for Medicare and Medicaid Services (CMS).

(2) Filing Exemption. A Provider may file a written request to waive the filing requirements set forth in 114.3 CMR 4.07(1) for good cause. The factors which the Division will consider in determining whether to grant such a waiver, include, but are not limited to, provider service volume and revenues, current MassHealth volume and revenues, current uncompensated care/free care volume, expenditures and revenues, and BlueCross/BlueShield volume and revenues. If an approval is granted, its duration is limited to one fiscal year and, when applicable, the following must be submitted for the waived fiscal year. (a) Two paper copies of the audited financial statements, (b) One electronic copy of the Uniform Financial Statement and Independent Auditor’s Report, if applicable, and (c) One copy of the Medicare Federally Qualified Health Center Medicare Cost Report, if applicable.

(3) Special Provisions. (a) New Providers. New Providers shall submit the required documentation cited in 114.3 CMR 4.07(1) and (2) and in accordance with the schedule set forth in 114.3 CMR 4.07(4), upon completion of a full fiscal year of operation. (b) Mergers, Acquisitions, Other Transfers. Any Provider involved in a merger, acquisition, purchase, pooling of interest or other arrangement involving the transfer of business between two or more Providers becomes a single Provider for purposes of filing information under 114.3 CMR 4.07(3).

(4) Filing Deadlines. Each Provider must file the required documents in 114.3 CMR 4.07(1) and (2) according to the following schedule: (a) For Providers with fiscal periods ending July 1st through December 31st, reports are due by December 1st of the following year.

5/1/09 (Effective 2/7/09) 114.3 CMR - 603 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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

4.07: continued

(b) For Providers with fiscal periods ending January 1st through June 30th, reports are due by December 1st of the same year.

(5) Additional Information Requested by the Division. Each Provider shall file such additional information as the Division requests within 15 business days from the date of request, unless a different time is specified. The Division may, for cause, extend the filing date of the requested information, in response to a written request for an extension of time.

(6) General Provisions. (a) Accurate Data. All reports, schedules, additional information, books and records made available to the Division shall be certified under pains and penalties of perjury as true, correct and accurate by the Executive Director or Chief Financial Officer of the community health center. (b) Examination of Records. Each health center shall make available all records relating to its operation and all records relating to a realty service or holding company or any entity in which there may be a common ownership or interrelated directorate upon request of the Division for examination. (c) Field Audits. The Division shall determine if a field audit is necessary to substantiate information provided to the Division. The Division shall make reasonable attempts to schedule an audit at a convenient time for both parties.

(7) Penalties. The Division may impose penalties for failure to submit required reports or other data requested by the Division. The Division will reduce the Provider's current rates by 5% effective on the day following the date the information is due at the Division. These rates will be reduced for an amount of time equal to the period of non-compliance. The penalty shall accrue at a rate of 5% per month of non-compliance, not to exceed 50%. If a Provider is not in full compliance when payments are amended, the Provider's amended rate may not exceed its penalty-adjusted current rate. No payment increase will be effective until the date on which the Provider fully complies with the reporting requirements. If the amended rate is less than the penalty-adjusted current rate, the amended rate will become effective immediately and subject to further penalty for non-compliance.

4.08: Severability

The provisions of 114.3 CMR 4.00 are severable, and if any provision of 114.3 CMR 4.00 or application of such provision to any 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 114.3 CMR 4.00 or applications of such provisions to community health centers or circumstances other than those held invalid.

REGULATORY AUTHORITY

114.3 CMR 4.00: M.G.L. c. 118G.

(PAGES 605 AND 606 ARE RESERVED FOR FUTURE USE.)

5/1/09 (Effective 2/7/09) 114.3 CMR - 604 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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 # 149

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 205 CMR 3.00

CHAPTER TITLE: Harness Horse Racing

AGENCY: State Racing Commission

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. Provides rules and regulations for harness horse racing in the Commonwealth.

REGULATORY AUTHORITY: M.G.L. c. 128A

AGENCY CONTACT: Joseph Van Deventer PHONE: 617 727-2581

ADDRESS: 1 Ashburton Place, Room 1313

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

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

Date of public hearing or comment period: Public Hearing April 15, 2009

For the first five years: None

No fiscal effect: None

None

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

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

SIGNATURE: SIGNATURE ON FILE DATE: Apr 16 2009

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1129 DATE: 05/01/2009

EFFECTIVE DATE: 05/01/2009

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: 71, 72 71, 72 79, 80 79, 80

04/16/2009 cm

3.12: continued

(19) The Judges may suspend for no greater period than ten days beyond the close of the meeting anyone whom they have authority to supervise, or they may impose a forfeiture, not exceeding $3,000.00. All such suspensions and forfeitures must be reported to the Commission. If the punishment to be imposed is not in the opinion of the Judges sufficient, they shall so report to the Commission.

3.13: Licensee: Duties, Obligations, etc.

(1) No person younger than 16 years old shall be employed in or about the track of any association, except as may be permitted by the applicable laws of the Commonwealth of Massachusetts.

(2) It shall be the duty of each and every licensee of the Commission and the officers, officials and employees of said licensee to observe and enforce 205 CMR. Every license to hold a harness horse racing meeting is granted upon the condition that licensee therein named shall accept, observe and enforce 205 CMR.

(3) Each Association licensed by the Commission shall submit to the Commission a complete list of employees ten days after the first racing day. This must contain in addition to the names and addresses of employees, the position each one is to fill or the duties he is to perform. All additions named to or changes in the list of employees must be promptly reported to the Commission.

(4) The Commission shall require each Association to obtain from every person employed by them a sworn statement, on a form prescribed by the Commission, setting forth information regarding citizenship, place or places of residence during the past two years and answer to any other questions the Commission may prescribe.

(5) Each Association shall provide and equip a first aid room within its enclosure.

(6) Each Association running a racing meeting shall keep a separate bank account to be known as the "Horsemen's Account" with at all times sufficient funds in such account to cover all monies due horsemen in regard to purses, stakes, rewards and deposits. Withdrawals from this account shall be only for such purposes and said account shall at all times be subject to audit by the Commission.

(7) Members of the Commission and its representatives shall have the right to full and complete entry to any and all points of the grounds of the Associations licensed to conduct harness horse racing in Massachusetts.

(8) Each Association conducting racing shall before publishing submit to the Commission, the conditions for all races it proposes to hold, together with the stake, purse or reward, all of which shall be subject to the approval of the Commission.

(9) Each Association shall install at the finish line at their track, and shall adequately maintain, two photo finish cameras, to be approved by the Commission, to automatically photograph the finish of races. The official photographer shall furnish promptly to the Commission a print of every photo-finish.

(10) Each Association shall install and maintain an adequate photo patrol system approved by the Commission.

(11) Each Association shall provide that no person shall be admitted to the stable area unless he/she is wearing an identification badge issued to him/her by the Commission. Each person whose duties or occupation requires his/her presence in the stable area shall wear his/her identification badge in view at all times.

5/1/09 205 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. 205 CMR: STATE RACING COMMISSION

3.13: continued

(a) Each Association shall provide that each person whose presence in the Paddock Area or Testing Area is permitted by 205 CMR 3.00 shall be required to wear his identification badge in plain view at all times while in the Paddock and Test Area. (b) The Commission will hold the Association in strict accountability for full compliance with the provisions of 205 CMR 3.13(11).

(12) No Association shall permit on its grounds any betting or other operations in contravention of any law of the Commonwealth of Massachusetts or of the United States.

(13) No Association shall permit bets to be made on the grounds on any race run outside said grounds except for simulcasts authorized and approved by the Racing Commission.

(14) No gambling device, other than permitted by law, shall be permitted on the grounds. Petty games of chance are prohibited.

(15) During the term of disqualification of any participant of racing, it shall be the duty of the Association to see to it that the privileges of his admission badge are revoked, and that he is kept out of the grounds unless otherwise permitted to enter under certain conditions and at certain times as may be provided for elsewhere in 205 CMR 3.00.

(16) Each Association shall furnish to the Commission the names and addresses of all persons ejected by the Association from its grounds, together with the offense or offenses alleged against them, and any other material information relating thereto.

(17) Any person ejected from the grounds of an Association shall be denied admission to said grounds until written permission for his re-entering has been obtained from the licensee Association and written notification of such permission shall forthwith be filed with the Commission.

(18) A person ejected from the grounds of an Association licensed by the Commission shall be refused admission to the grounds of all other licensed Associations in Massachusetts until he has been permitted to re-enter the track where he was originally ejected in accordance with the procedure provided for in 205 CMR 3.13(17).

(19) Purse Money shall not be paid to the winners thereof earlier than 48 hours following their winning.

(20) No percentage of winnings shall be deducted by an Association for another person, club, or body, unless at the request of the person to whom such winnings are payable and except that an Association may withhold from winnings any money due it.

(21) Each Association shall provide within its grounds an office for the use and to be at the disposal of the Commission and all its officials.

(22) The acceptance by an Association of so called "come back money" or other wager placed outside the enclosure of said Association is strictly prohibited. No Association shall aid or abet the acceptance of such wagers or make any special provision within or without the enclosure for the acceptance of such wagers or for the encouragement of such method of wagering. An Association shall not set up or permit the establishment of any agency within the enclosure for the receipt of wagers made outside the enclosure.

(23) If the Pari-mutuel Manager is to be absent from the track for a complete racing program, the Association shall inform the Commission Accountant at the track at least ½ hour before post time of the first race of the name of the person who will perform the duties of the Pari-mutuel Manager during his absence.

6/3/05 205 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. 205 CMR: STATE RACING COMMISSION

3.19: continued

(d) Each horse receiving phenylbutazone must be on a Request for Phenylbutazone Use form, which is provided by the Commission. This form contains the date of request, the name of the horse, the name of the trainer and the name of the Veterinarian. This form must be received at the Commission Office on the grounds of the racing plant, no later than noon, 48 hours prior to said horse's next start and must be signed by the trainer. (e) Once a Request for Phenylbutazone Use form is filed, said horse shall remain on Phenylbutazone. The filing of one form for each horse is sufficient for the remainder of the meet, unless the horse is removed from the Phenylbutazone program. No entry may be accepted unless it is indicated on the entry form that said horse is on or off Phenylbutazone. (f) The Phenylbutazone Removal form provided by the Commission must be filed for any horse that no longer requires Phenylbutazone. This form must be signed by the trainer and must be received at the Commission Office on the grounds of the racing plant, no later than noon, 48 hours prior to the horse's next start. (g) Once a horse is removed from the Phenylbutazone program, said horse must remain off Phenylbutazone for a period of 20 days, the date of filing being the first day. (h) If any horse of the Phenylbutazone program changes hands either by sale, claim or otherwise, it shall be the responsibility of the new trainer to contact the Racing Commission and fill out a new application to continue said horse on the phenylbutazone program, or file a removal form. (i) Two year-olds are not allowed on the Phenylbutazone program.

(18) Nothing herein contained under 205 CMR 3.19(1) through 3.19(17) shall alter or diminish the power of the Commission to review or originate action in any case covered by said 205 CMR 3.19(1) through 3.19(17).

(19) Bleeder Medication Program. Any horse that bleeds from the lungs as a result of exercise induced pulmonary hemorrhaging, or are suspected of bleeding by his own trainer may be given an endoscopic examination. The endoscopic examination must be done by the Commission or Association Veterinarian or in the presence of a Commission or Association Veterinarian. Such examination shall take place within two hours. (a) Post Race in a Test Barn (if space available) or in the Paddock. (b) Post Training exercise in the Test Barn.

(20) Restriction from Racing Following Bleeding. A horse which bleeds based on the criteria outlined in 205 CMR 3.19(19) shall be placed on the Bleeder Medication Program and restricted from racing at any facility under the jurisdiction of this Commission based on a 12 month period starting from the first EIPH (Exercise Induced Pulmonary Hemorrhaging) as follows: (a) First time -- ten days (b) Second time -- 30 days on bleeder list and a satisfactory workout if the horse bled after racing on bleeder medication. (c) Third time -- a minimum of 30 days on Vets list to be removed at the discretion of the Association Veterinarian after a satisfactory workout. (d) Fourth time -- barred for life. A list of bleeders shall be posted in the Racing Secretary's office so that other trainers may be aware of bleeders status for claiming purpose, which shall also appear in the daily program. An updated list of bleeders will be forward by the Racing Secretary to the Commission Office in Boston.

(21) Removal From the Bleeder Program. A horse may be removed from the Bleeder Program upon request of the owner or trainer. A Lasix Removal Form provided by the Judges must be filed for any horse that is removed from the Bleeder Program. This form must be received at the Judge's office no later than 48 hours prior to the horse's next start. Any horse so removed may re-qualify for the Bleeder Program as provided for in 205 CMR 3.19(19)

(22) Entries. It is the responsibility of the person who enters a horse to provide the Racing Secretary with bleeder medication status of the horse on the entry blank and also provide the Veterinary Office with a "bleeder" certificate if racing from out of state. For any other jurisdictions, a certification or letter from a Commission Veterinarian of that jurisdiction certifying the horse as a known bleeder may be accepted to place the horse on the Massachusetts Bleeder Program.

3/5/99 205 CMR - 79 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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: STATE RACING COMMISSION

3.19: continued

In the absence of such a letter, and in the event confirmation cannot be made, the trainer may be allowed to file an affidavit with the Stewards that the horse has raced on bleeder medication in the jurisdiction from which it was shipped and accepts the responsibility to provide documentation from the State Veterinarian of that jurisdiction that the horse in question is a known bleeder and is receiving bleeder medication. Such documentation shall be supplied within 14 days of the date such affidavit is executed. In the absence of either a certification of an affidavit, the horse shall be scratched if it received bleeder medication under the Massachusetts Program prior to the race for which it was entered. In the event an affidavit is filed in lieu of certification, any purse earned by that horse shall be held for up to 30 days. If the appropriate documentation is not provided within 14 days to substantiate the affidavit, the matter shall be referred to the Judges.

(23) Bleeder Medication. (a) All horses on the bleeder program shall be administered Lasix by a practicing Veterinarian. No less than 3cc (150 milligrams) and no more than 5cc (250 milligrams) intravenously not nearer than four hours prior to advertised post time of the race that the horse is entered into. (b) It shall be the responsibility of the practicing veterinarian to maintain a record of Lasix administrations that shall contain: the name of the horse, date, time, dosage and signature of trainer. A copy shall be filed with a state steward or judge on a daily basis.

(24) Bleeder Certification Form. Shall be the type and form of that which shall be available at the Commission office.

(25) Trainers must make their own arrangements to have their horses scoped by a Veterinarian of their choice in the presence of the Commission or Association Veterinarian.

(26) Two-year olds are not allowed on the Bleeder Program.

(27) The Racing Commission may randomly take samples in the Test Barn from horses on the bleeder program before they receive Lasix.

(28) Androgenic-anabolic Steroids. No AAS shall be permitted in test samples collected from racing horses except for residues of the major metabolite of stanozol, nandrolone, and the naturally occurring substances boldenone and testosterone at concentrations less than the indicated thresholds. (a) Concentrations of these AAS shall not exceed the following urine threshold concentrations for total (i.e., free drug or metabolite and drug or metabolite liberated from its conjugates): 1. 16$-hydroxystanozolol (metabolite of stanozolol (Winstrol)) - 1 ng/ml in urine for all horses regardless of sex. 2. Boldenone ((Equipoise® is the undecylenate ester of boldenone) In male horses other than geldings;- 15 ng/ml in urine. No boldenone shall be permitted in geldings or female horses. 3. Nandrolone (Durabolin® is the phenylpropionate ester and Deca-Durabolin® is the decanoate ester) In geldings - 1 ng/ml in urine; in fillies and mares - 1 ng/ml in urine. 4. Testosterone: a. In geldings - 20 ng/ml in urine b. In fillies and mares - 55 ng/ml in urine (b) Any other anabolic steroids are prohibited in racing horses. (c) Post-race urine samples must have the sex of the horse identified to the laboratory. (d) Any horse to which an anabolic steroid has been administered in order to assist in the recovery from illness or injury may be placed on the veterinarian's list in order to monitor the concentration of the drug or metabolite in urine. Once the concentration is below the designated threshold the horse is eligible to be removed from the list

3.20: Stable Employees

(1) The Commission shall license every person following the vocation of groom or stable foreman.

(2) Application shall be made on printed forms furnished by and filed with the Commission and be accompanied by the applicable annual fee.

5/1/09 205 CMR - 80 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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 # 150

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 205 CMR 4.00

CHAPTER TITLE: Rules of Horse Racing

AGENCY: State Racing Commission

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. Provides rules and regulations for horse (Thoroughbred) racing in the Commonwealth

REGULATORY AUTHORITY: M.G.L. c. 128A

AGENCY CONTACT: Joseph H. Van Deventer PHONE: 617 727-2581

ADDRESS: 1 Ashburton Place Room 1313

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

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

Date of public hearing or comment period: Public Hearing April 15, 2009

For the first five years: None

No fiscal effect: None

Purchase of new Riding Crops by Jockeys approximately $150.00 per riding crop x 12 jockeys = $1800.00

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: Changes the amount Stewards can fine; provides for open claiming; changes Anabolic Steroid language; and provides specifications for riding crops.

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: Apr 16 2009

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1129 DATE: 05/01/2009

EFFECTIVE DATE: 05/01/2009

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: 93, 94 93, 94 99 - 104 99 - 104 109 - 112 109 - 112.2 115, 116 115, 116 04/16/2009 cm 127, 128 127 - 128.2 135, 138 135, 138 141, 142 141, 142

4.02: continued

Also Eligible pertains to: (a) a number of eligible horses, properly entered, which were not drawn for inclusion in a race, but which become eligible according to preference or lot if an entry is scratched prior to the scratch time deadline; (b) The next preferred non-qualifier for the finals or consolation from a set of elimination trials which will become eligible in the event a finalist is scratched by the stewards for a rule violation or is otherwise eligible if written race conditions permit.

Allowance Race is an overnight race for which eligibility and weight to be carried is determined according to specified conditions that include age, sex, earnings and number of wins.

Appeal is a request for the Commission or its designee to investigate, consider and review any decision or rulings of stewards of a meeting.

Arrears are all monies owed by a licensee, including subscriptions, jockey fees, forfeitures and any default incident to these rules.

Association any person or persons, associations, or corporations licensed by the Commission to conduct horse racing within the Commonwealth of Massachusetts for any stake, purse or reward.

Association Grounds is all real property utilized by the Association in the conduct of its race meeting, including the racetrack, grandstand, concession stands, offices, barns, stable area, employee housing facilities and parking lots.

Authorized Agent is a person licensed by the Commission and appointed by a written instrument, signed and acknowledged before a notary public by the owner in whose behalf the agent will act.

Beneficial Interest is profit, benefit or advantage resulting from a contract or the ownership of an estate as distinct from the legal ownership or control. When considered as designation or character of an estate, is such an interest as a devisee, legatee or done taken solely for his own use or benefit and not as holder of title for use and benefit of another.

Betting Interest is one or more horses in a pari-mutuel contest, which are identified by a single program number for wagering purposes.

Bleeder List is a tabulation of all bleeders to be maintained by the Commission.

Breeder is the owner of the horse's dam at the time of foaling.

Calendar Day is 24 hours ending at midnight.

Claiming Race is a race in which any horse starting may be claimed (purchased for a designated amount) in conformance with the rules.

Commission is the regulatory agency with the authority to regulate racing.

Conditions are qualifications that determine a horse's eligibility to be entered in a race.

Contest is a competitive racing event on which pari-mutuel wagering is conducted.

Contestant is an individual horse participating in a contest.

Coupled Entry is two or more contestants in a contest that are treated as a single betting interest for pari-mutuel wagering purposes (also see "Entry").

Day is a 24-hour period beginning at 12:01 A.M. and ending at 12:00 P.M. midnight.

10/16/98 205 CMR - 93 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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: STATE RACING COMMISSION

4.02: continued

Dead Heat is the finish of a race in which the noses of two or more horses reach the finish line at the same time.

Declaration is the act of withdrawing an entered horse from a race prior to the closing of entries.

Ejected shall mean the removal from the grounds of an Association and shall apply to both patrons at racing meetings and participants in racing.

Entry is: (a) a horse made eligible to run in a race; (b) two or more horses, entered in the same race, which have common ties of ownership, lease or training.

Equipment as applied to a horse, shall mean riding crops, spurs, blinkers, tongue straps, muzzles, hoods, nose-bands, bits, shadow rolls, martingales, breast plates, bandages, boots, plates, etc.

Exhibition Race is a race on which no wagering is permitted.

Financial Interest is an interest that could result in directly or indirectly receiving a pecuniary gain or sustaining a pecuniary loss as a result of ownership or interest in a horse or business entity; or as a result of salary, gratuity or other compensation or remuneration from any person. The lessee and lessor of a horse have a financial interest.

Flat Race is a race in which horses mounted by jockeys run over a course on which no jumps or other obstacles are placed.

Forfeit is money due from a licensee because of error, fault, neglect of duty, breach of contract or a penalty imposed by the Stewards or the Commission.

General Partner shall mean the person or persons having full, exclusive and complete control and discretion of the management of the affairs of a Limited Partnership.

Guest Association is an association which offers licensed pari-mutuel wagering on contests conducted by another association (the host) in either the same state of another jurisdiction.

Handicap is a race in which the weights to be carried by the horses are assigned by the racing secretary or handicapper for the purpose of equalizing the chances of winning for all horses entered.

Horse is any equine (including and designated as a mare, filly, stallion, colt, ridgeling or gelding) registered for racing; specifically, an entire male five years of age or older.

Host Association is the association conducting a licensed pari-mutuel meeting from which authorized contests or entire performances are simulcast.

Inquiry is an investigation by the Stewards of potential interference in a contest prior to declaring the result of said contest official.

Jockey is a professional rider licensed to ride in races.

Law or Laws shall mean M.G.L. c. 128A (being the general laws pertaining to horse racing).

Licensee is any person or entity holding a license from the Commission to engage in racing or a regulated activity.

Limited Partnership shall mean any person holding an interest in a horse, who is not a general partner.

5/1/09 205 CMR - 94 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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: STATE RACING COMMISSION

4.05: continued

(6) Any changes must be in writing and filed as provided.

(7) If an agent represents more than one owner a separate written instrument shall be filed for each owner and the fee paid in each case.

(8) The term of the license shall be the calendar year unless the owner revokes the agent’s appointment or the Commission revokes the license.

(9) Owner's revocations must be filed in writing with the Commission and with the Racing Secretary.

4.06: Claiming

(1) In claiming races any horse is subject to claim for its entered price by any owner registered in good faith for racing at the meeting or by his authorized agent. Said claim is for the account only of the owner making the claim or for whom the claim was made by the agent provided. No person shall claim his own horse or cause his horse to be claimed directly or indirectly for his own account.

(2) No one may claim more than one horse out of any one race.

(3) No authorized agent, although representing several owners shall submit more than one claim for any one race.

(4) When a stable consists of horses owned by more than one person, trained by the same trainer, not more than one claim may be entered on behalf of such stable in any one race.

(5) A claimed horse shall not race elsewhere until after the close of the meeting at which it was claimed or until 60 calendar days the day after the claim, whichever comes first.

(6) The adoption by any state of any rule limiting the amount at which a horse may be entered in a claiming race shall not be deemed inconsistent with the foregoing rule.

(7) When a horse is claimed at a recognized meeting under rules that are at variance with 205 CMR 4.06, title to such horse shall be recognized in Massachusetts to follow the rule of the meeting under which it was claimed.

(8) Not more than two horses of the same ownership or interest shall be entered in a claiming race and both may start except that two horses coupled by common ownership shall not start if it deprives an uncoupled horse of starting.

(9) If a horse is claimed it shall not be sold or transferred to anyone wholly or in part, except in a claiming race, for a period of 30 days from the date of claim (the day of the claim and the 30th day from the day of the claim shall not be counted), nor shall it, unless reclaimed, remain in the same stable or under the control or management of its former owner or trainer for a like period.

(10) The claiming price of each horse in a claiming race shall be printed on the program, and all claims for said horse shall be for the amount so designated. Should more than one claim be filed for the same horse, the disposition of the horse shall be determined by lot under direction and supervision of one or more of the Stewards.

(11) All claims must be made in writing, on forms and in envelopes furnished by the Association and approved by the Commission. Both forms and envelopes must be filled out completely and must be sufficiently accurate to identify the claim; otherwise the claim will be void.

5/1/09 205 CMR - 99 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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: STATE RACING COMMISSION

4.06: continued

(12) Each person desiring to make a claim must first deposit with the Association's horsemen's bookkeeper the whole amount of the claim in cash plus any amount that may be required by Federal, State or Local law as a tax, for which a receipt will be given unless at the time of depositing said claim he shall have such amount to his credit with the Association.

(13) All claims shall be sealed and deposited in a locked box provided for this purpose. No money shall accompany the claim.

(14) When a claim has been filed it is irrevocable and at the risk of the claimant.

(15) The money deposited for any claimed horse shall be held by the Racing Secretary until the registration certificate on the claimed horse is surrendered, though the claimed horse may go on and race for the new owner or owners, regardless.

(16) All claims shall be deposited in the claiming box at least ten minutes before the established post time of each race; shall be certified by an approved time stamp and the claim box shall be opened only in the presence of the Stewards or their deputy.

(17) No official or other employee of an Association shall give any information as to the filing of claims until after the race has been run.

(18) The Stewards or their deputy shall pass upon all claims.

(19) A horse claimed shall not be delivered by the original owner to the successful claimant until authorization shall be given by the clerk of the Course, and every horse so claimed shall run in the interest and for the account of the owner who entered it in the race, but title to the claimed horse shall be vested in the successful claimant from time said horse becomes a starter and said claimant shall become the owner of the horse, whether it be alive or dead, sound or unsound or injured during the race or after it.

(20) The Stewards may, at any time, at their discretion, require any person making a claim for a horse in any claiming race, to make affidavit in writing that he is claiming said horse for his own account or as authorized agent and not for any other person. Any person making such affidavit willfully and falsely shall be subject to punishment in the same manner as is hereinafter provided for the punishment of other persons' violation of any of the terms of 205 CMR 4.06.

(21) No person shall refuse to deliver to the person legally entitled thereto a horse claimed out of a claiming race, and furthermore, the horse in question shall be disqualified until delivery is made.

(22) No person shall offer, or enter into an agreement, to claim or not to claim, or attempt to prevent another person from claiming, any horse in a claiming race; nor shall any person attempt by intimidation to prevent any one from running a horse in any race for which it is entered nor shall any owner or trainer running horses in any claiming race make any agreement for the protection of each other's horses.

(23) No person or persons shall enter, or allow to be entered, in a claiming race, a horse against which any claim is held, either as a mortgage, bill of sale, or lien of any kind, unless when or before entering the horse the written consent of the holder of the claim shall be filed with the Clerk of the Course of the Association conducting said race.

(24) Any alteration in the sex of a horse must be reported in writing by its owner or trainer to the Racing Secretary or Horse Identification Office on a form provided for that purpose at least 24 hours previous to the time of entry. The completed form shall be attached to the foal certificate. Notwithstanding any designation of sex appearing on the racing program or in any racing publication, the claimant of a horse shall be solely responsible for determining the sex of the horse claimed.

1/31/03 205 CMR - 100 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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: STATE RACING COMMISSION

4.06: continued

(25) When a horse is claimed out of a claiming race, the horse's engagements are included.

(26) Any person or persons claiming ownership in a horse after such horse has run in a claiming race in the name of another person having peaceful and undisputed possession of that horse shall be ruled off.

(27) The claiming rules set forth in 205 CMR 4.06(1) through (26) shall apply to all races under the jurisdiction of the Commission, including steeplechases, which are run under claiming conditions; provided, however that in any such steeplechase no horse shall be subject to claim except by the owners of other horses running in such race, or their authorized agent, but for the account of the person making the claim.

(28) Any person violating any of the provisions of 205 CMR 4.06 shall be subject to punishment by the Stewards who may, in their discretion, punish the person so offending by forfeiture or suspension or ruling off, or by denying the privilege of the course. The Stewards shall, in every case, report their action to the Commission which may exclude such person either temporarily or permanently from all race meetings under its jurisdiction.

(29) The Stewards shall issue a claiming authorization to any person who makes an application on forms prescribed for that purpose and who meets the following three requirements: (a) Meets all the requirements for the issuance of an owner's license, except that the applicant need not own a horse or have any previous experience in racing. (b) Has an agreement with a licensed trainer to train any horse claimed pursuant to the claiming authorization. The holder of a claiming authorization and the trainer shall promptly notify the Stewards in writing if such agreement is terminated before a horse is successfully claimed. (c) Has on deposit with the horsemen's bookkeeper the amount of the claim plus any amount that may be required by Federal, State, or Local law as a tax.

(30) The claiming authorization shall be valid only at the track that the authorization is granted for the calendar year in which it is issued, or until such time as the holder of the claiming authorization becomes a horse owner either through use of the claiming authorization or through private purchase. If the authorization card does not accompany the claim blank when filed it shall be voided.

(31) The same fee charged for an Owner's license shall be payable to the Commission by the applicant prior to the issuance of a claiming authorization. The holder of a claiming authorization shall not, by virtue thereof, be entitled to admission to the stable area, grandstand, or clubhouse at prices less than those charged the general public.

(32) Any horse claimed under the provisions of 205 CMR 4.00 must race exclusively in Massachusetts at the track claimed for a period of 60 days following the date of the claim. If racing concludes at the track where the horse is claimed for a period in excess of 30 days and no other Massachusetts track offers other races suitable for that horse, the Stewards may permit said horse to race elsewhere prior to the end of the 60-day period.

5/1/09 205 CMR - 101 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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: STATE RACING COMMISSION

4.06: continued

(33) An application for claiming authorization may be denied or revoked, for any reason that would justify denial, suspension, or revocation of an owner’s license. Any person whose claiming authorization is denied or revoked shall have the same rights to notice and hearing as an owner whose license is denied, suspended or revoked.

(34) When an Owner ships a horse in for racing purposes from another jurisdiction and does not have any other horses stabled on the grounds and said horse is claimed, the Owner so affected may obtain a certificate from Stewards of the meeting, and on presentation of the certificate, the Owner shall be entitled to claim during the next 30 days or until such time as he has claimed a horse.

4.07: Clerk of the Scales, Duties, etc.

(1) The Clerk of the Scales shall weigh all jockeys out and in.

(2) The Clerk of the Scales shall record and publish on the notice board any overweight or any change of jockey, weight or racing colors, as compared with those stated on the official program and shall promptly supply all proper racing officials with all pertinent changes.

(3) The Clerk of the Scales shall promptly report to the Stewards any infraction of 205 CMR 4.00 with respect to weight, weighing, or riding equipment.

(4) The Clerk of the Scales shall report to the Racing Secretary after the close of each day's racing, the weights carried by each horse in each race, together with the name of each horse's jockey and the overweight carried by any jockey. He/she shall also report the post time and running time in each race and other data that may from time to time be required.

(5) No horse shall carry more than two pounds overweight without consent of its owner or representative; nor shall a horse carry more than seven pounds overweight in any race. If the overweight is more than ½ pound in excess of the weight the horse is to carry, the jockey shall declare the amount of overweight to the Clerk of Scales at least 45 minutes before the time appointed for the first race of the day and the Clerk shall have the overweight posted on the Notice Board and announced over the public address system. Failure on the part of any jockey to comply with 205 CMR 4.07(5) shall be reported to the Stewards.

(6) A horse shall not become a starter in a sweepstakes unless it has been announced as such to the Clerk of the Scales not less than 45 minutes before the time appointed for the race.

4.08: Colors, Registration Fees, etc.

(1) Colors registered for life with any State Racing Commission or with the Jockey Club of New York shall be respected in Massachusetts and only the registrant shall be permitted to use them.

(2) No person shall start a horse in racing colors other than those registered in his own or stable name, but a temporary change from the recorded racing colors may be approved by the Stewards.

(3) The Stewards shall decide any dispute between claimants to the right of particular racing colors.

(4) The Commission will not permit the use of colors that in their opinion are not neat and clean and proper in all other respects.

4.09: Corporations

(1) Corporations racing horses in Massachusetts shall furnish the following information: (a) The corporation shall furnish to the Stewards and the Commission a statement giving the names of all persons connected with the corporation including officers, directors and stockholders.

5/1/09 205 CMR - 102 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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: STATE RACING COMMISSION

4.09: continued

(b) The corporation shall furnish to the Stewards and the Commission a certificate stating that no person or persons connected with the corporation (officer, director or stockholder) have any beneficial interest in any horse or horses running in their name or the name of any other person or persons racing at the same track where the corporation-owned horse or horses are running. (c) The corporation shall designate to the Stewards and the Commission the name of one individual, preferably an officer, (not the trainer) who shall act as Agent for the corporation.

(2) All licensed persons listed in the corporation shall be liable for entry fees and penalties against horses raced by the corporation.

(3) In the event that one of the persons listed in the corporation is suspended all horses owned by the corporation may be suspended at the discretion of the Stewards and or Commission.

(4) Each of the persons holding a beneficial interest in the corporation shall be in good standing in racing.

(5) The agent designated to act for the Corporation, and any person holding a beneficial interest of 20% or more in the Corporation shall be licensed as owners. Any person whose beneficial interest in the Corporation is less than 20% shall not be licensed as an owner unless they establish a bona fide need for the license and the issuance of the license shall be approved by the stewards. If a husband and wife are listed in the Corporation and their total beneficial interest in the Corporation represents 20% or more of the Corporation they shall both be licensed as owners.

(6) All the stockholders or members of a corporation which leases horses for racing purposes in the Commonwealth of Massachusetts and also all such corporations shall make and file with the Commission as and when requested by it, a report or reports containing such information as the Commission may specify; and upon refusal or failure to file such report or reports the Commission may refuse a license to any lessee or lessees of such corporation or may revoke any such license which it may have granted.

4.10: Corrupt Practices

(1) No person shall influence, induce or conspire or connive with or attempt so to do, any owner, trainer, jockey, agent, driver, groom or other person associated with or interested in or having charge of or access to any horse or dog entered or to be entered in a race for the purpose of fraudulently affecting the ultimate result of such race.

(2) No person shall willfully enter, or cause to be entered, or start a horse that he knows or believes to be ineligible or disqualified.

(3) No person shall offer or receive money or any other benefit for declaring an entry from a race.

(4) No person shall conspire with any other person for the commission of, or connive with any other person in any corrupt or fraudulent practice in relation to racing nor shall he/she commit such act on his/her own account.

(5) No person without proper notice to the Stewards, shall be part owner or trainer of any horse in which a jockey has an interest.

(6) No person shall make a bet for the account of any jockey except the owner or trainer of the horse the jockey is riding, and then only on said horse.

(7) No person shall offer or give a jockey any money or other benefit in relation to a race, unless said person is the owner or trainer of the horse ridden in said race by said jockey.

(8) No person shall solicit bets on the grounds of an Association.

5/1/09 205 CMR - 103 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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: STATE RACING COMMISSION

4.10: continued

(9) A horse, starting in a race, shall not be shod with ordinary or training shoes.

(10) Bar plates may be used only with the consent of the Stewards and discontinuance of their use must be obtained from the Stewards.

(11) No electrical or mechanical device or other expedient designed to increase or decrease the speed of a horse, (or that would tend so to do) other than the ordinary riding crop or spurs, shall be possessed by any one or applied by any one to a horse at any time on the grounds of an Association, during a Meeting whether in a race or otherwise.

(12) No person shall tamper or attempt to tamper with any horse in such a way as to affect its speed in a race, nor shall be counsel or in any way aid or abet any such tampering.

(13) No person shall assume or pay, directly or indirectly, a forfeiture imposed upon a jockey.

(14) No jockey's attendant shall make a bet on any race nor shall he/she place a bet for anyone else.

4.11: Rules of the Race

(1) Entries and Nominations. (a) Entering. No horse shall be qualified to start unless it has been and continues to be entered. (b) Procedure. 1. Entries and nominations shall be made with the racing secretary and shall not be considered until received by the racing secretary, who shall maintain a record of time of receipt of them for a period of one year. 2. An entry shall be in the name of the horse's licensed owner and made by the owner, trainer or a licensed designee of the owner or trainer. 3. Races printed in the condition book shall have preference over substitute and extra races. 4. An entry must be in writing, by telephone or facsimile machine to the racing secretary. The entry must be confirmed in writing should the stewards or the racing secretary so request. 5. The person making an entry shall clearly designate the horse so entered. 6. No alteration may be made in any entry after the closing of entries, but an error may be corrected with permission of the stewards. 7. No conditional entries will be accepted. 8. No horse may be entered in more than one race (with the exception of stakes races) to be run on the same day on which pari-mutuel wagering is conducted. 9. Any permitted medication or approved change of equipment must be declared at time of entry. (c) Coupled Entries. 1. Two or more horses that are entered in a race shall be joined as a mutuel entry and single betting interest if they are owned or leased in whole or in part by the same owner. 2. No more than two horses having common ties through ownership or training may be entered in an overnight race. Under no circumstances may both horses of a coupled entry start to the exclusion of a single entry. When making a coupled entry, a preference for one of the horses must be made. (d) Nominations. 1. Any nominator to a stakes race may transfer or declare such nomination prior to closing. 2. Any one of joint owners of a horse may make joint nominations and entries, and each such owner shall be jointly and severally liable for all payments due. 3. Death of a horse, or a mistake in its entry when such horse is eligible, does not release the nominator or transferee from liability for all stakes fees due. No fees paid in connection with a nomination to a stakes race that is run shall be refunded, except as otherwise stated in the conditions of a stakes race. 4. Death of a nominator to a stakes race shall not render void any subscription, entry or right of entry. All rights, privileges and obligations shall be attached to the legal heirs of the decedent or the successor owner of the horse.

5/1/09 205 CMR - 104 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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: STATE RACING COMMISSION

4.11: continued

2. Its breed registration certificate is not on file with the racing secretary or horse identifier; unless the racing secretary has submitted the certificate to the appropriate breed registry for correction; 3. It is not fully identified and tattooed on the inside of the upper lip; 4. It has been fraudulently entered or raced in any jurisdiction under a different name, with an altered registration certificate or altered lip tattoo; 5. It is wholly or partially owned by a disqualified person or a horse is under the direct or indirect training or management of a disqualified person; 6. It is wholly or partially owned by the spouse of a disqualified person or a horse is under the direct or indirect management of the spouse of a disqualified person, in such cases, it being presumed that the disqualified person and spouse constitute a single financial entity with respect to the horse, which presumption may be rebutted; 7. The stakes or entrance money for the horse has not been paid, in accordance with the conditions of the race; except with the approval of the Racing Secretary; 8. The losing jockey mount fee is not on deposit with the horsemen's bookkeeper; except with the approval of the Racing Secretary; 9. Its name appears on the starter's list, stewards' list or veterinarian's list; 10. It is a first time starter and has not been approved to start by the starter; 11. It is owned in whole or in part by an undisclosed person or interest; 12. It lacks sufficient official published workouts or race past performance(s); 13. It has been entered in a stakes race and has subsequently been transferred with its engagements, unless the racing secretary has been notified of such prior to the start; 14. It is subject to a lien that has not been approved by the stewards and filed with the horsemen's bookkeeper; 15. It is subject to a lease not filed with the stewards; 16. It is not in sound racing condition; 17. It has had a surgical neurectomy performed on a heel nerve, which has not been approved by the official veterinarian; 18. It has been trachea tubed to artificially assist breathing; 19. It has been blocked with alcohol or otherwise drugged or surgically denerved to desensitize the nerves above the ankle; 20. It has impaired eyesight in both eyes; 21. It is barred or suspended in any recognized jurisdiction; 22. It does not meet the eligibility conditions of the race; 23. Its owner or lessor is in arrears for any stakes fees, except with approval of the racing secretary; 24. Its owner(s), lessor(s) and/or trainer have not completed the licensing procedures required by the Commission; 25. It is by an unknown sire or out of an unknown mare; or 26. There is no current negative Coggins test certificate for Equine Infectious Anemia attached to its breed registration certificate, as required by statute.

(6) Running of the Race. (a) Equipment. 1. All riding crops are subject to inspection and approval by the stewards and the clerk of scales. a. Riding crops shall have a shaft and a flap and will be allowed in flat racing including training, only as follows; i. Maximum weight of eight ounces. ii. Maximum length, including flap of 30 inches. iii. Minimum diameter of the shaft of one-half inch iv. Shaft contact area must be smooth, with no protrusions or raised surface, and covered by shock absorbing material that gives a compression factor of at least one-millimeter throughout its circumference. b. The flap is the only allowable attachment to the shaft and must meet these specifications: i. Length beyond the end of the shaft a maximum of one inch. ii. Width a minimum of 0.8 inch and a maximum of 1.6 inches. iii. No reinforcements or additions beyond the end of the shaft.

5/1/09 205 CMR - 109 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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: STATE RACING COMMISSION

4.11: continued

iv. No binding within seven inches of the end of lthe shaft. v. Shock absorbing characteristics similar to those the contact area of the shaft. (ARCI Board 12/10/2008) 2. No bridle shall exceed two pounds. 3. A horse's tongue may be tied down with clean bandages, gauze or tongue strap. 4. No licensee may add blinkers to a horse's equipment or discontinue their use without the prior approval of the starter, the paddock judge, and the stewards. 5. No licensee may change any equipment used on a horse its last race in this jurisdiction without approval of the paddock judge. 6. Permission for any change of equipment from that which a horse carried in its last previous race, can be obtained only from the Stewards and must be obtained before the closing of entries for the race in which the horse is to run with changed equipment. 7. Permission for a horse to add blinkers to its equipment or to discontinue the use of them must be approved by the Starter before being granted by the Stewards. 8. No shoes (racing plates) which have toe grabs with a height greater than two millimeters (0.08 inches) on the front hooves are allowed. (b) Racing Numbers. 1. Each horse shall carry a conspicuous saddle cloth number corresponding to the official number given that horse on the official program. 2. In the case of a coupled entry that includes more than one horse, each horse in the entry shall carry the same number, with a different distinguishing letter following the number. As an example, two horses in the same entry shall appear in the official program as 1 and 1A. 3. Each horse in the mutuel field shall carry a separate number or may carry the same number with a distinguishing letter following the number. (c) Jockey Requirements. 1. Jockeys shall report to the jockeys' quarters at the time designated by the association. Jockeys shall report their engagements and any overweight to the clerk of scales. Jockeys shall not leave the jockeys' quarters, except to ride in scheduled races, until all of their riding engagements of the day have been fulfilled except as approved by the stewards. 2. A jockey who has not fulfilled all riding engagements, who desires to leave the jockeys' quarters, must first receive the permission of the stewards and must be accompanied by an association security guard. 3. While in the jockeys' quarters, jockeys shall have no contact or communication with any person outside the jockeys' quarters other than Commission personnel and officials, an owner or trainer for whom the jockey is riding or a representative of the regular news media, except with the permission of the stewards. Any communication permitted by the stewards may be conducted only in the presence of the clerk of scales or other person designated by the stewards. 4. The clerk of scales shall weigh out jockeys for their respective mounts not more than 30 minutes before post time for each race. 5. Only valets employed by the association shall assist jockeys in weighing out. 6. A jockey must wear a safety vest when riding in any official race. The safety vest shall weigh no more than two pounds and shall be designed to provide shock absorbing protection to the upper body of at least a rating of five, as defined by the British Equestrian Trade Association (BETA), and be manufactured in accordance with current minimum standards established by the Jockeys' Guild. 7. A jockey's weight shall include his/her clothing, boots, saddle and its attachments and any other equipment except the riding crop, bridle, bit or reins, safety helmet, safety vest, blinkers, goggles and number cloth. 8. Seven pounds is the limit of overweight any horse is permitted to carry. 9. Once jockeys have fulfilled their riding engagements for the day and have left the jockeys' quarters, they shall not be re-admitted to the jockeys' quarters until after the entire racing program for that day has been completed, except with permission of the stewards.

5/1/09 205 CMR - 110 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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: STATE RACING COMMISSION

4.11: continued

(d) Paddock to Post. 1. Each horse shall carry the full weight assigned for that race from the paddock to the starting post, and shall parade past the stewards' stand, unless excused by the stewards. The post parade shall not exceed 12 minutes, unless otherwise ordered by the stewards. It shall be the duty of the stewards to ensure that the horses arrive at the starting gate as near to post time as possible. 2. After the horses enter the track, no jockey may dismount nor entrust his horse to the care of an attendant unless, because of accident occurring to the jockey, the horse or the equipment, and with the prior consent of the starter. During any delay during which a jockey is permitted to dismount, all other jockeys may dismount and others may attend their horses. After the horses enter the track, only the jockey, an assistant starter, the official veterinarian, the racing veterinarian or an outrider or pony rider may touch the horse before the start of the race. 3. If a jockey is seriously injured on the way to the post, the horse shall be returned to the paddock and a replacement jockey obtained. 4. After passing the stewards' stand in parade, the horses may break formation and proceed to the post in any manner unless otherwise directed by the stewards. Once at the post, the horses shall be started without unnecessary delay. 5. Horses shall arrive at the starting post in post position order. 6. In case of accident to a jockey or his/her mount or equipment, the stewards or the starter may permit the jockey to dismount and the horse to be cared for during the delay, and may permit all jockeys to dismount and all horses to be attended to during the delay. 7. If a jockey is thrown on the way from the paddock to the post, the horse must be remounted, return to the point where the jockey was thrown and then proceed over the route of the parade to the post. The horse must carry its assigned weight from paddock to post and from post to finish. 8. If a horse leaves the course while moving from paddock to post, the horse shall be returned to the course at the nearest practical point to that at which it left the course, and shall complete its parade to the post from the point at which it left the course unless ordered scratched by the stewards. 9. No person shall willfully delay the arrival of a horse at the post. 10. The starter shall load horses into the starting gate in any order deemed necessary to ensure a safe and fair start. Only the jockey, the racing veterinarian, the starter or an assistant starter shall handle a horse. 11. Every horse must be saddled in the paddock. (e) Post to Finish. 1. The Start. a. The starter is responsible for assuring that each participant receives a fair start. b. If, when the starter dispatches the field, any door at the front of the starting gate stalls should not open properly due to a mechanical failure or malfunction or should any action by any starting personnel directly cause a horse to receive an unfair start, the stewards may declare such a horse a non-starter. c. Should a horse, not scratched prior to the start, not be in the starting gate stall thereby causing it to be left when the starter dispatches the field, the stewards shall declare the horse a non-starter. d. Should an accident or malfunction of the starting gate, or other unforeseeable event compromise the fairness of the race or the safety of race participants, the stewards may declare individual horses to be non-starters, exclude individual horses from one or more pari-mutuel pools or declare a no contest and refund all wagers except as otherwise provided in the rules involving multi-race wagers. 2. Interference, Jostling or Striking. a. A jockey shall not ride carelessly or willfully so as to permit his/her mount to interfere with, impede or intimidate any other horse in the race. b. No jockey shall carelessly or willfully jostle, strike or touch another jockey or another jockey's horse or equipment c. No jockey shall unnecessarily cause his/her horse to shorten its stride so as to give the appearance of having suffered a foul.

5/1/09 205 CMR - 111 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 205 CMR: STATE RACING COMMISSION

4.11: continued

3. Maintaining a Straight Course. a. When the way is clear in a race, a horse may be ridden to any part of the course, but if any horse swerves, or is ridden to either side, so as to interfere with, impede or intimidate any other horse, it is a foul. b. The offending horse may be disqualified, if in the opinion of the stewards, the foul altered the finish of the race, regardless of whether the foul was accidental, willful or the result of careless riding. c. If the stewards determine the foul was intentional, or due to careless riding, they may fine or suspend the guilty jockey. d. In a straightaway race, every horse must maintain position as nearly as possible in the lane in which it starts. If a horse is ridden, drifts or swerves out of its lane in such a manner that it interferes with, impedes or intimidates another horse, it is a foul and may result in the disqualification of the offending horse. 4. Disqualification. a. When the stewards determine that a horse shall be disqualified for interference, they may place the offending horse behind such horses as in their judgement it interfered with, or they may place it last. b. If a horse is disqualified for a foul, any horse or horses with which it is coupled as an entry may also be disqualified. c. The stewards may determine that a horse shall be unplaced for the purpose of purse distribution and time trial qualification. d. In determining the extent of disqualification, the stewards in their discretion may: i. declare null and void a track record set or equaled by a disqualified horse, or any horses coupled with it as an entry; ii. affirm the placing judges' order of finish and suspend a jockey if, in the stewards' opinion, the foul riding did not affect the order of finish; or iii. disqualify the offending horse and not suspend a jockey if in the stewards' opinion the interference to another horse in a race was not the result of an intentional foul or careless riding on the part of a jockey. 5. Horses Shall be Ridden Out. All horses shall be ridden out in every race. A jockey shall not ease up or coast to the finish, without adequate cause, even if the horse has no apparent chance to win prize money. 6. Use of Riding Crops. a. Although the use of a riding crop is not required, any jockey who uses a riding crop during a race shall do so only in a manner consistent with exerting his/her best efforts to win. b. In all races where a jockey will ride without a riding crop, an announcement of such fact shall be made over the public address system. c. No electrical or mechanical device or other expedient designed to increase or retard the speed of a horse, other than the ordinary riding crop approved, shall be possessed by anyone, or applied by anyone to the horse at any time on the grounds of the association during the meeting, whether in a race or otherwise. d. Riding crops shall not be used on two-year-old horses before April 1st of each year. e. Indiscriminate use of the riding crop is prohibited including whipping a horse: i. On the head, flanks or on any other part of its body other than the shoulders or hind quarters; ii. during the post parade except when necessary to control the horse; iii. excessively or brutally causing welts or breaks in the skin; iv. when the horse is clearly out of the race or has obtained its maximum placing; or v. persistently even though the horse is showing no response under the riding crop. vi. striking another person or horse. f. The riding crop shall only be used for safety, correction and encouragement. g. All riders should comply with the following when using the riding crop: i. Showing the horse the riding crop and giving it time to respond before hitting it.

5/1/09 205 CMR - 112 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 205 CMR: STATE RACING COMMISSION

4.11: continued

ii. Having used the riding crop, giving the horse a chance to respond before using it again. iii. Using the riding crop in rhythm with the horses stride. h. After the race, horses will be subject to inspection by a racing or official veterinarian looking for cuts, welts or bruses in the skin. Any adverse findings shall be reported to the stewards. i. The giving of instructions by any licensee that if obeyed would lead to a violation of this rule may result in disciplinary action also being taken against the licensee who gave such instructions. 7. Returning After the Finish. a. After a race has been run, the jockey shall ride promptly to the finish line, dismount and report to the clerk of scales to be weighed in. Jockeys shall weigh in with all pieces of equipment with which they weighed out. b. If a jockey is prevented from riding to the finish line because of an accident or illness to the jockey or the horse, the jockey may walk or be transported to the scales, or may be excused from weighing in by the stewards. 8. Unsaddling. No person shall assist a jockey with unsaddling except with permission of the stewards and no one shall place a covering over a horse before it is unsaddled. 9. Weighing In. a. A jockey shall weigh in at the same weight at which he/she weighed out, and if under that weight by more than two pounds, his/her mount shall be disqualified from any portion of the purse money. b. In the event of such disqualification, all monies wagered on the horse shall be refunded unless the race has been declared official. c. If any jockey weighs in at more than two pounds over the proper or declared weight, the jockey shall be fined or suspended or ruled off by the stewards, having due regard for any excess weight caused by rain or mud. The case shall be reported to the Commission for such action, as it may deem proper. 10. Dead Heats. a. When a race results in a dead heat, the dead heat shall not be run off, owners shall divide except where division would conflict with the conditions of the races. b. When two horses run a dead heat for first place, all purses or prizes to which first and second horses would have been entitled shall be divided equally between them; and this applies in dividing all purses or prizes whatever the number of horses running a dead heat and whatever places for which the dead heat is run. c. In a dead heat for first place, each horse involved shall be deemed a winner and liable to penalty for the amount it shall receive. d. When a dead heat is run for second place and an objection is made to the winner of the race, and sustained, the horses that ran a dead heat shall be deemed to have run a dead heat for first place. e. If the dividing owners cannot agree as to which of them is to have a cup or other prize that cannot be divided, the question shall be determined by lot by the stewards. f. On a dead heat for a match, the match is off.

5/1/09 205 CMR - 112.1 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. 205 CMR: STATE RACING COMMISSION

NON-TEXT PAGE

5/1/09 205 CMR - 112.2 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. 205 CMR: STATE RACING COMMISSION

4.13: continued

(8) No person shall make a handbook or a foreign book on the grounds of an Association.

(9) No person shall solicit for or bet from a handbook or foreign book on the grounds of an Association.

(10) No person shall make a bet with a handbook or foreign book on the grounds of an Association.

(11) Any person, who participates in an unrecognized meeting anywhere, either as a racing official or as an owner, trainer or jockey, may be adjudged guilty of conduct detrimental to racing.

(12) No person or horse ruled off, or under suspension by any recognized turf authority, trotting association included, shall be admitted to the grounds of any Association. (For exception see 205 CMR 4.15(22).)

(13) No person shall be allowed in the Steward's stand unless previous permission is obtained from the Stewards.

(14) Any person who has been convicted by any court anywhere for illegal possession, sale or giving away of narcotics may be ruled off.

(15) Any person who has been arrested and/or charged with a violation of the law may be suspended until such time as said charge has been adjudged.

(16) If any owner, trainer, jockey, stable employee, or other person solicits bets from the public by correspondence or other methods, to be made on any horse which is to run on a track in Massachusetts, such person or persons shall be ruled off.

(17) When a person is ruled off a course or suspended, every horse owned in whole or in part by him shall be ineligible to be entered or to start in any race until said horse has been reinstated either by the rescinding of his owner's penalty or his transfer through bona fide sale to an ownership acceptable to the Stewards.

(18) When a person is ruled off a course or suspended, any horse which is under his care, management, training or superintendence shall not be qualified to be entered or to start in any race until said horse has been reinstated by the rescinding of said person's penalty or by the placement of the horse in the hand of a licensed trainer and the approval of the transfer by the Stewards.

(19) When a person is ruled off a course or suspended, he shall not be qualified, whether acting as agent or otherwise to subscribe for or to enter or run any horse in any race either in his own name or in that of any other person until the rescinding of that person's penalty.

(20) Any horse that has been the subject of fraudulent practice may be disqualified.

(21) When a person is ruled off for a fraudulent practice in relation to a particular horse, wholly or partly belonging to him, he shall return all money or prizes that such horse has fraudulently won.

(22) Violators of any rule will be subject to ejection from the grounds, and/or to forfeiture, suspension or ruling off.

10/16/98 205 CMR - 115 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 205 CMR: STATE RACING COMMISSION

4.13: continued

(23) No horse will be allowed at a track and no horse shall be entered or permitted to start unless a current, valid health certificate showing that said horse has been examined and found to be free from symptoms of any infections or communicable disease, is on file with the Racing Secretary. The health certificate is valid when it is made by an accredited veterinarian licensed by the State Authority that governs licensing veterinarians in the state where the examination and certificate were made. It is current if it is dated not more than ten days prior to the date the horse described in the certificate arrives at a Massachusetts race track for the first time in a calendar year and any time it is shipped thereafter. A horse requires a new health certificate each time that it is shipped. The certificate shall include the temperature of the horse at the time it was examined. The Association conducting the racing meeting is responsible for compliance with 205 CMR 4.13(23).

(24) The Stewards may suspend for no greater period than ten days beyond the close of the meeting anyone whom they have authority to supervise, or they may impose a forfeiture, not exceeding $3,000.00. All such suspensions and forfeitures must be reported to the Commission. If the punishment so imposed is not in the opinion of the Stewards sufficient, they shall so report to the Commission.

(25) Complaints against racing official (other than a Steward) or his assistant shall be made to the Stewards in writing and be signed by the complainant. Complaints against a Steward shall be made in writing to the Commission and be signed by the complainant.

(26) When a hearing is to be held by the Board of Stewards, the person or persons involved must be properly notified and given the opportunity to hear all of the evidence presented against them. If any summoned or notified party shall fail to appear, an order or ruling may be made against them by default.

(27) Every racing Association, the Commission or the Stewards investigating for violations of the law or the 205 CMR 4.00 adopted by the Commission shall have the right to permit persons authorized by any of them to search the person, or enter and search the buildings, stables, rooms, vehicles or other places within the grounds of the association, or at other places where horses which are eligible to race are kept together with the personal property and effects contained therein. Every licensed person or person permitted to pursue his/her occupation or employment within the grounds of any association by accepting his/her license or such permission does thereby irrevocably consent to such search as aforesaid and waive and release all claims or possible actions for damages that he/she may have by virtue of any action taken under 205 CMR 4.00.

(28) No person shall make false or misleading statements to the Stewards.

(29) No licensee or other person under the jurisdiction of the Commission shall subject or permit any animal under his/her control, custody or supervision to be subjected to or to incur any form of cruelty, mistreatment, neglect or abuse or abandon, injure, maim or kill or administer any noxious substance to or deprive any animal of necessary care or sustenance, shelter or veterinary care.

4.14: Handicapper

(1) The Handicapper, who may be the Racing Secretary, shall assign the weights to be carried by each horse in the handicap.

(2) The Handicapper shall append to the weights for every handicap the day and hour from which winners will be liable to weight penalty.

(3) If there are no penalties that fact shall be appended to the weights. No alteration of weights shall be made after publication.

(4) In case of omission, through error, of the name or weight of a horse duly entered, the Handicapper shall rectify the omission.

5/1/09 205 CMR - 116 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 205 CMR: STATE RACING COMMISSION

4.24continued

(4) The Paddock Judge shall report any irregularities to the Stewards.

(5) The Paddock Judge may permit a horse to be excused from parading and be led to the post upon payment of $10.00 to the Racing Secretary. (205 CMR 4.24(5) shall not apply at State or County Fairs. See Special Rules for State or County Fairs.)

4.25: Paddock to Post

(1) Permission must be obtained from a Steward to exercise a horse between races unless the horse is being warmed up on the way to and just prior to entering the paddock for the next race to be run.

(2) When a horse is being so warmed up before entering the paddock, the rider must display his official program number.

(3) In a race each horse shall carry a conspicuous saddlecloth number and a head number on his off side, corresponding to his number on the official program. In the case of an entry each horse making up the Entry shall carry the same number (head and saddlecloth) with a distinguishing letter. For example, 1-1A, -1X. In the case of a Field the horses comprising the Field shall carry an individual number; i.e., 12, 13, 14, 15, and so on.

(4) Horses must be in the paddock at least 15 minutes before post time.

(5) All horses shall parade such a distance as is reasonable and proper in the opinion of the Stewards, unless excused by the Paddock Judge as provided in 205 CMR 4.24(5). If a horse is so excused from parading and is led to the post he must pass over the same route as that followed by the parade.

(6) All horses shall carry their respective weights from paddock to post.

(7) Parading horses shall pass the Stewards' Stand in the numerical order of their exhibited number. Only a horse being led by the parade leader, or excused from parading, may parade out of numerical order.

(8) In the discretion of the Stewards parading horses may be allowed to break out of numerical order after passing from in front of the stands, or may be required to maintain their order until arrival at the post.

(9) After the horses enter the track, no jockey shall dismount and no horse shall be entitled to the care of an attendant without consent of the Stewards or the Starter and the horse must be free of all hands other than those of the jockey or Assistant Starter before the Starter releases the barrier.

(10) After the horses enter the track and before the start, no jockey shall deliberately and without the consent of the Stewards or the Starter take his horse off the track. Violators of this rule shall be punished by a forfeiture of not less than $50.00 for each offense and may be suspended or ruled off at the discretion of the Stewards.

(11) In case of accident to a jockey or to his mount or equipment, the Stewards or the Starter may permit the jockey to dismount and the horse to be cared for during the delay, and may permit all jockeys to dismount and all horses to be attended during the delay.

(12) If a jockey is thrown on the way from the paddock to the post, the horse must be remounted, return to the point where the jockey was thrown and then proceed over the route of the parade to the post.

(13) If the jockey is so injured on the way to the post as to require another jockey, the horse shall be taken to the paddock, another jockey obtained, and then ridden over any uncompleted portion of the exact route of the parade to the starting point.

10/16/98 205 CMR - 127 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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: STATE RACING COMMISSION

4.25: continued

(14) If a horse leaves the course while moving from paddock to post, it shall return to the course at the nearest practical point to that at which it left the course, and shall complete its parade to the post from the point at which he left the course.

(15) No person shall willfully delay the arrival of a horse at the post.

(16) No person other than the rider or Starter or Assistant Starter shall be permitted to strike a horse or attempt by shouting or otherwise to assist it in getting a start.

4.26: Partnerships

(1) Each and every partnership must be registered with the Commission. Every member of the partnership with a beneficial interest of 20% or more shall be licensed. Every member of the partnership with a beneficial interest of less than 20% shall not be licensed unless they establish a bona fide need for the license and the issuance of the license shall be approved by the stewards.

(2) Partnership papers shall, among other things, set forth the following: (a) the name and address of each and every person having an interest in the horse or horses involved. (b) the relative proportions of such interests. (c) to whom the winnings are payable. (d) in whose name the horse or horses shall run. (e) with whom the power of entry and declaration rests. (f) the terms of any contingency, lease or any other arrangement.

(3) All partnership papers must be signed by all of the parties or by their authorized agents.

(4) In case of emergency, authority to sign declarations of partnership may be given to the Racing Secretary by a telegram promptly confirmed in writing.

(5) The part owner of any horse cannot assign his/her share or any part of it, without the written consent of the other partners, the said consent to be lodged with the Racing Commission.

(6) An alteration in a recorded partnership registration to be effective must be reported in writing to the Commission and signed by all partners.

(7) All the parties licensed in a partnership and each of them shall be jointly and severally liable for all stakes, forfeits and other obligations.

(8) In case of multiple ownership, each and every owner shall be in good standing in racing. In a Limited Partnership and every other form of partnership, only the Managing General Partner, General Partners or a person designated to act on behalf of the partnership and partners whose percentage of ownership is 20% or more of the total partnership shall be licensed as owners. A partner whose percentage of ownership is less than 20% of the total partnership shall not be licensed as an owner unless they establish a bona fide need for the license and the issuance of the license shall be approved by the stewards. Those, not licensed, must provide full disclosure by the partnership of: (a) The limited partner's name, address, date of birth, social security number and criminal history if any; (b) The percentage of total partnership interest owned by the limited partner. If limited partners are husband and wife, and their total ownership interest in the partnership represents 20% or more of the total partnership, then they shall both be licensed as owners. (c) Said disclosure statement shall be made under oath and accompanied by a copy of the partnership agreement. If a limited partner with less than 20% interest of the total partnership could not obtain a license for reasons outlined in 205 CMR 4.21, the Limited Partnership shall not be licensed. In the event that one of the persons listed in the Limited Partnership is suspended, all horses owned by the Limited Partnership may be suspended, at the discretion of the Stewards and or the Commission.

5/1/09 205 CMR - 128 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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: STATE RACING COMMISSION

4.26: continued

It shall be the responsibility of the General Partner or his/her licensed designee to notify the Stewards and Racing Commission in writing of any change in the ownership or interest in the Limited Partnership. Only the Managing General Partner or a licensed partner or a person designated to act on behalf of the partnership and is licensed can enter a horse in a race.

5/1/09 205 CMR - 128.1 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. 205 CMR: STATE RACING COMMISSION

NON-TEXT PAGE

5/1/09 205 CMR - 128.2 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. 205 CMR: STATE RACING COMMISSION

4.32: continued

(b) It shall be the responsibility of the practicing veterinarian to maintain a record of Lasix administrations, which shall contain date, time, dosage, and subject. A copy shall be filed with a State Steward or Judge on a daily basis.

(35) All horses on the current bleeder’s list will be placed automatically on the new list.

(36) Two-year-olds are allowed on the Bleeder (Lasix) Program.

(37) Persons may have in their possession, within the grounds of a Racing Association, hypodermic syringes, needles and chemical substances for use on their own person, provided they are in possession of documentary evidence that a valid prescription for such articles has been issued to them and that they have notified the State Steward: (a) that they are in possession of such articles; (b) of the size of the hypodermic syringes and needles; (c) of the chemical substance to be administered.

(38) Androgenic-anabolic Steroids. No AAS shall be permitted in test samples collected from racing horses except for residues of the major metabolite of stanozol, nandrolone, and the naturally occurring substances boldenone and testosterone at concentrations less than the indicated thresholds. (a) Concentrations of these AAS shall not exceed the following urine threshold concentrations for total (i.e., free drug or metabolite and drug or metabolite liberated from its conjugates): 1. 16$-hydroxystanozolol (metabolite of stanozolol (Winstrol)) - 1 ng/ml in urine for all horses regardless of sex. 2. Boldenone (Equipoise® is the undecylenate ester of boldenone) in male horses other than geldings; 15 ng/ml in urine. No boldenone shall be permitted in geldings or female horses. 3. Nandrolone - (Durabolin® is the phenylpropionate ester and Deca-Durabolin® is the decanoate ester) In geldings - 1 ng/ml in urine; in fillies and mares - 1 ng/ml in urine. 4. Testosterone: a. In geldings - 20 ng/ml in urine b. In fillies and mares - 55 ng/ml in urine (b) Any other anabolic steroids are prohibited in racing horses. (c) Post-race urine samples must have the sex of the horse identified to the laboratory. (d) Any horse to which an anabolic steroid has been administered in order to assist in the recovery from illness or injury may be placed on the veterinarian's list in order to monitor the concentration of the drug or metabolite in urine. Once the concentration is below the designated threshold the horse is eligible to be removed from the list

4.33: Starter

(1) Only the Starter or a deputy approved by him and by the Stewards may start a race.

(2) The Starter shall give all orders and take all measures necessary to insure a fair start.

(3) The Starter's decision as to the validity of a start shall be final. Likewise his/her decision as to whether a horse was locked in the gate shall be final.

(4) The Starter may appoint his assistants subject to the approval of the Stewards.

(5) Horses are in the hands of the Starter from the moment they enter the track on the way from paddock to post. They remain in his/her hands until the start.

(6) In case the alignment of the horses at the post is delayed, the Starter may permit jockeys to dismount and their mounts to be attended.

(7) Horses shall take their positions in numerical order from the inside rail, that order to be determined by postposition. However, if the starter deems a horse unruly, said horse may take position out of order.

5/1/09 205 CMR - 135 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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: STATE RACING COMMISSION

4.33: continued

(8) All flat races shall be started out of a stall gate.

(9) In case of necessity, by permission of the Stewards, a gate may be used with the doors open.

(10) If the number of horses starting in a stake race does not exceed the capacity of the track, but does exceed the number of stalls in the gate, the surplus may be started from outside the gate.

(11) The Starter may place vicious and unruly horses on the outside and behind the line.

(12) The Starter shall report to the Stewards by whom or by what cause any delay was occasioned and any cases of misconduct by jockeys when under his/her orders.

(13) The Starter shall maintain and keep available to the Stewards a daily record of all horses handled at the gate.

(14) The Starter shall maintain a schooling list, and all horses shall be schooled to barrier or starting gate, if and when required under the personal supervision of himself/herself or his/her assistants.

(15) Only the Starter shall have the authority to designate the horses that shall constitute the schooling list.

(16) The Starter shall file a copy of the schooling list with the Racing Secretary.

(17) The Starter shall report to the Racing Secretary as soon as a horse on the list has been schooled sufficiently to be permitted to start.

(18) A horse will not be eligible to start until the starter orders the name stricken from the schooling list.

(19) The Starter may impose a forfeiture or suspend a jockey for disobedience of orders or for attempting an unfair advantage. Such forfeiture shall not exceed $200. A suspension shall not take effect until after the last race of the next day, unless otherwise ordered by the Starter.

(20) The Starter shall report in writing to the Stewards and to the Racing Secretary all forfeitures and suspensions that he/she has imposed and no forfeitures or suspensions so reported shall be modified other than by the authority of the Stewards.

(21) The concurrent statements of the Starter and his assistants as to incidents of the start are conclusive.

(22) Neither the Starter nor his assistants shall mistreat or use abusive language to a jockey.

(23) The Starter's approval of the starting ability of all two-year-olds must be obtained before the same are permitted to start. Likewise, his approval must be obtained for all older horses that have never started at a recognized meeting.

(24) A false start is void and the horses shall be started again as soon as practical. Any horse running the course from a false start may be excused from the true race by the Stewards.

(25) If a horse is locked in the gate, the Starter shall immediately notify the Stewards who in turn shall immediately notify the manager of the Pari-mutuel Department.

(26) No person shall give to any starter or assistant starter, nor shall any starter or assistant starter receive money, anything of value, or other compensation for such starter's or assistant starter's services in connection with the running of any race or races. No Starter or assistant starter, shall either directly or indirectly bet on any race, or engage in any betting transaction nor have any interest in any horse.

5/1/09 205 CMR - 136 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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: STATE RACING COMMISSION

4.34: Steeplechasing

(1) Steeplechases shall be conducted in conformity with 205 CMR 4.00 established in so far as they can be consistently applied. To the extent that they cannot so be applied, modification thereto may be made by the Stewards in accordance with the Rules of the National Steeplechase Association, 400 Fair Hill Drive, Elkton, MD. www.nationalsteeplechase.com

(2) All horses engaged in Steeplechasing must be registered either at the Jockey Club, 40 East 52nd Street, New York, NY 10022 or with the National Steeplechase Association.

4.35: Stewards

(1) The Stewards shall have the power to interpret 205 CMR 4.00 and to decide all questions not specifically covered by them.

(2) In matters pertaining to racing, the orders of the Stewards supersede the orders of the Officers and Directors of the Association.

10/31/08 205 CMR - 136.1 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. 205 CMR: STATE RACING COMMISSION

NON-TEXT PAGE

10/31/08 205 CMR - 136.2 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. 205 CMR: STATE RACING COMMISSION

4.35: continued

(3) The Stewards shall have general supervision over owners, trainers, jockeys, grooms and other persons attendant on horses, and also over all the other officials at the meeting.

(4) The Stewards shall have the authority to declare a race void and to order all wagers made thereon refunded if they shall determine that any occurrence before or during the running of such race calls for such action by them.

(5) The Stewards shall have control over and free access to all stands, weighing rooms, enclosures, and other places in use for the purpose of racing.

(6) All entries and declarations shall be under the supervision of the Stewards.

(7) The Stewards shall have the power to determine all questions arising with reference to entries and racing.

(8) All questions pertaining to which their authority extends shall be determined by a majority of the Stewards.

(9) The Stewards shall have the power to punish for violation of 205 CMR 4.00 any person subject to their control and in their discretion to impose forfeitures or suspensions or both for infractions.

(10) The Stewards may not impose a forfeiture in excess of $3,000.00. If it is deemed necessary that a larger forfeiture should be imposed, the Stewards shall so recommend to the Commission.

(11) The Stewards may suspend a person or disqualify a horse. The Stewards shall maintain a list of such disqualified horses and other horses that in the opinion of the Stewards are not competitive at that meeting or are dangerous to themselves, riders or other horses. Horses on said list may not enter until permission to do so is given by the Stewards in order to remove a horse from said list. No horse may be placed on said list unless prior thereto the Stewards state, in writing, the reason for placement of the horse thereon.

(12) The Stewards shall have the powers to exclude or eject from the premises and enclosures of the Association (a) any person who is disqualified for corrupt practices on the turf in any country; (b) any person who is under suspension by the Stewards of a recognized meeting or ruled off by any other Commission; (c) any person who is under their supervision.

(13) The Stewards may demand proof that a horse neither is disqualified in any particular; nor entered or owned, in whole or in part, by a disqualified person, or trained in whole or in part, by a disqualified person. In default of proof, satisfactorily to them, the Stewards may declare the horse disqualified.

(14) The Stewards may postpone a race from race-day to race-day.

(15) The Stewards shall have the power to examine or cause to be examined at any time any horse stabled on the Association grounds, or in stabling approved by the Association.

(16) The three Stewards must be on duty during race time, which shall mean from one hour before post time for the first race of the day until the last race of the day has been made official.

(17) At least one of the Stewards, or his deputy, must be on duty within call of the Racing Secretary from the time of opening of overnight entries each morning until after the drawing of postpositions.

(18) The Steward may appoint his own deputy at any time.

(19) If there is only one Steward present at race time, said Steward shall appoint two other qualified persons to act with him/her as Stewards pro-tem.

5/1/09 205 CMR - 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. 205 CMR: STATE RACING COMMISSION

4.35: continued

(20) If only two Stewards are present at race time, they shall by agreement appoint a deputy for the absent Steward; but if unable to reach an agreement, shall call upon the Racing Secretary to appoint said deputy.

(21) If none of the Stewards are present at race time, the Racing Secretary shall appoint three qualified persons, one of whom may be himself, to act as Stewards pro-tem.

(22) When a vacancy occurs among the racing officials, other than the officials, other than the Stewards, prior to post time of the first race of the day, or when a vacancy occurs after the racing of the day has started, the Stewards shall immediately fill the vacancy. The appointment shall be effective only for the day, unless the Association fails to fill the vacancy on the following day and notifies the Stewards of its action not less than one hour before the post time of the first race of the day. Such appointment shall be reported immediately to the Commission.

(23) The Stewards shall take notice of any questionable conduct with or without complaint thereof.

(24) The Stewards may substitute a jockey of their selection on any horse.

(25) The Stewards may place any horse in the temporary charge of a trainer of their selection.

(26) In case of accident or casualty to a horse before a start, the Stewards may excuse said horse.

(27) The Stewards must investigate promptly, and render a decision in every objection and in every complaint properly made to them.

(28) The Stewards shall report all objections and complaints to the Commission as soon as received by them, and shall make prompt report to said Commission of their decision.

(29) The Stewards shall, not later than seven days after the end of each meeting, make a report to the Chairman of the Commission of all infractions of 205 CMR 4.00 and of all rulings of the Stewards upon matters coming before them during such meeting.

(30) Except in emergencies, no Steward shall grant permission for a change of horses' equipment after the close of entries for the race in which the changed equipment is to be carried.

(31) There shall be one or more timers. They shall determine the official time of each race.

(32) The time recorded for the first horse to cross the finish line shall be the official time of the race.

(33) In the event that a horse establishes a track record in a race and if it later develops that the chemical analysis of any sample taken indicates the presence of a narcotic, stimulant, depressant or local anesthetic, then such track record shall be null and void.

(34) When electric timing is used, the races shall also be timed otherwise.

(35) The time shall be announced and displayed.

(36) A written report of the time of each race shall be made to the Clerk of the Scales for the reports to the Racing Secretary.

(37) No person may refuse to testify before the Stewards at any formal hearing on any relevant matter within the authority of the Stewards, except in the proper exercise of a legal privilege or unless representation is requested by an attorney or their association.

4.36: Trainers

(1) Each trainer must obtain a license from the Commission.

10/16/98 205 CMR - 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. 205 CMR: STATE RACING COMMISSION

4.38: continued

(5) In either of the aforementioned cases, stated in 205 CMR 4.38(2) and 4.38(4), the Stewards shall determine whether or not the horses shall be permitted to start. If not permitted to start, the horse automatically goes on the Veterinarian's List, and thereafter shall not be permitted to enter until the veterinarian notifies the Racing Secretary and the Stewards that the horse is again fit to compete.

(6) A horse placed on the Veterinarian's List for bleeding must remain on said list for a minimum of ten calendar days. A horse placed on the Veterinarian's List for bleeding a second time shall remain on said list for 30 calendar days and must have a satisfactory work if the horse bled while racing on bleeder medication. A horse placed on the Veterinarian's List for bleeding a third time shall remain on said list for a minimum of 30 days and shall only be removed at the discretion of the Association Veterinarian after a satisfactory work. A horse that bleeds a fourth time within a 12-month period, is barred from further racing in Massachusetts. The second through fourth times as outlined above shall mean the visual bleeding during or following a race.

(7) A veterinarian shall be attendant on the Stewards and the Racing Secretary at scratch time each morning and shall examine such horse or horses as they request, and make report to the said racing official as promptly as possible.

(8) No owner or trainer shall employ a veterinarian who has not been duly licensed in accordance with the law of the Commonwealth of Massachusetts. Any duly licensed veterinarian desiring to practice at a racetrack licensed by the Commission shall be approved by the Association conducting the meeting and shall list his name with the Racing Secretary. The Association shall warn off all unlicensed veterinarians.

(9) No veterinarian employed by the Commission or by an Association shall be permitted, during the period of his employment, to treat or prescribe for any horse on the grounds or registered to race at the track by which said veterinarian is assigned or employed, for compensation or otherwise, except in case of emergency, at which time the Commission or Association Veterinarian may receive compensation for his services.

(10) All veterinarians shall file individual remittance certificates with individual blood samples when testing for equine infectious anemia. Upon receipt from an approved testing laboratory, the certificates shall be returned to the trainer whose responsibility it shall be to safeguard said certificate and surrender same to a new owner and/ or trainer in cases of claims, sales or transfers. All veterinarians shall notify the State Veterinarian immediately upon receipt of a positive report.

4.39: Walking Over

(1) If, at the time for hoisting the numbers only one horse shall have weighed out, that horse shall be ridden past the Judges' Stand, go to the post, and then move over the course. He shall then be deemed the winner. In case of a walkover, the horse walking over shall receive: (a) In overnight races, ½ of the winner's rightful share of first money. (b) In stake races, ½ of the winner's rightful share of the added money and all fees.

(2) In case of a walkover, any money or prize that by the condition of the race would have been awarded to a horse placed second, or lower in the race, shall, if contributed by the owners, be paid to the winner. If a donation from any other source, it shall not be awarded.

4.40: Weighing In

(1) After a race has been run and after he has pulled up the horse he has ridden, the jockey shall ride promptly to the unsaddling area and there dismount, and present himself to the Clerk of the Scales to be weighed in.

(2) If a jockey is prevented from riding his mount to the unsaddling area because of an accident or of illness either to himself or his horse, he may walk or be carried to the scales, or he may be excused by the Stewards from weighing in.

10/16/98 205 CMR - 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. 205 CMR: STATE RACING COMMISSION

4.40: continued

(3) Except by permission of the Stewards, every jockey must, upon returning to the unsaddling area, unsaddle the horse he/she has ridden, and no person shall touch said horse except by his/her bridle.

(4) No person shall assist a jockey in removing from his/her horse the equipment that is to be included in the jockey's weight, except by permission of the Stewards.

(5) No person shall throw any covering over any horse at the place of dismounting until the jockey has removed the equipment that is to be included in his/her weight.

(6) No jockey shall, before weighing in, willfully touch any person or thing, other than the equipment that is to be included in his/her weight.

(7) Each jockey shall, in weighing in, carry over to the scales all pieces of equipment with which he/she weighed out. Thereafter he/she may hand it to his/her attendant.

(8) Each jockey shall weigh in at the same weight as that at which he/she weighed out, and if short of it by more than two pounds his/her mount shall be disqualified.

(9) When a horse is disqualified under 205 CMR 4.40(8) and there is evidence of fraud or attempted fraud, any other horse in the race owned or controlled by the same interest or trained by the same trainer, also shall be disqualified.

(10) No jockey shall weigh in at more than two pounds over the weight at which he/she weighed out, except in so far as said weight may have been affected by the elements.

4.41: Weighing Out

(1) The specified jockeys shall be weighed out for their respective mounts in each race by the Clerk of the Scales not less than ten minutes before the time fixed for the race. In case of a substitution of rider after the original rider has been weighed out, the substitute rider shall be weighed as promptly as possible and the name of the substitute and his/her weight publicly announced and posted.

(2) If a horse runs in hood, muzzle, martingale, breastplate, or blinkers, they must be included in the jockey's weight. His/her weight shall also include his/her clothing, boots, goggles, saddle and its attachments, number cloth, saddlecloth, etc.

(3) None of the following items shall be included in a jockey's weight: Protective helmet, as may be approved by the Commission; riding crop, head number, bridle, bit or reins.

(4) No bridle shall exceed two pounds in weight, and no riding crop (or substitute for a riding crop) shall exceed eight ounces in weight, unless approved by the Stewards.

(5) No jockey except when riding for his/her contract employer, shall be weighed out for any race unless there has been deposited for him/her or guaranteed to him/her, with the Racing Secretary, his/her fee for a losing mount in the race, and the failure to deposit or guarantee said fee for the engaged jockey may be cause for declaring the horse out of the race.

(6) The Association shall provide the only attendants who will be permitted to assist jockeys in weighing out.

4.42: Winnings

(1) The winnings of a horse in a stake race shall be computed on the value of the gross earnings.

(2) Winnings shall include all net monies won in all countries, up to the time appointed for the start, including walkovers and forfeits but not second and third money nor the value of a prize not in money.

(3) Winnings during a year shall be reckoned from January 1st of that year.

5/1/09 205 CMR - 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 # 542

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 310 CMR 30.00

CHAPTER TITLE: Hazardous Waste Regulations

AGENCY: Department of Environmental Protection

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. These revisions clarify and affirm the regulatory and permitting requirements for waste oil, used oil fuel and other regulated recyclable materials. Other revisions pertain to regulated, recyclable material and clarify that shipments sent off the site of generation by a generator must go directly to the appropriate, authorized facility. Another revision incorporates a federal hazardous waste exclusion which conditionally exempts eligible medical nitroglycerine.

REGULATORY AUTHORITY: M.G.L. c. 21 C, §§ 4 and 6

AGENCY CONTACT: James Paterson PHONE: 617.556.1096

ADDRESS: 1 Winter St., 7th floor, Boston, MA 02108

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

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

Date of public hearing or comment period: Hearings: December 1, 2, 3 (3) and 4, 2008.

For the first five years:

No fiscal effect: These clarifications will have a neutral fiscal effect.

Small businesses will benefit from the added clarity provided by these revisions. No new reporting or recordkeeping requirements.

CODE OF MASSACHUSETTS REGULATIONS INDEX - List key subjects that are relevant to this regulation: Oil, used waste oil, manifest, recycling, signage, medicinal nitroglycerine, off-specification used oil fuel, transporter/marketer.

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: Apr 7 2009

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1129 DATE: 05/01/2009

EFFECTIVE DATE: 05/01/2009

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: 913 - 916 913 - 916 921 - 924 921 - 924 929, 930 929, 930 943, 944 943 - 944.2 04/07/2009 cm 949 - 950.2 949 - 950.2 1001 - 1004 1001 - 1004 1007, 1008 1007, 1008 1017, 1018 1017, 1018

30.010: continued

Boiler means an enclosed device that uses controlled flame combustion and meets all the following requirements: (a) the device must have physical provisions for recovering and exporting thermal energy in the form of steam, heated fluids, or heated gases; and (b) the device's combustion chamber and primary energy recovery section(s) must be of integral design. To be of integral design, the combustion chamber and the primary energy recovery section(s) (such as waterwalls and superheaters) must be physically formed into one manufactured or assembled unit. A unit in which the combustion chamber and the primary energy recovery section(s) are joined only by ducts or connections carrying flue gas is not integrally designed; however, secondary energy recovery equipment (such as economizers or air preheaters) need not be physically formed into the same unit as the combustion chamber and the primary energy recovery section. The following units are not precluded from being boilers solely because they are not of integral design: process heaters (units that transfer energy directly to a process stream), and fluidized bed combustion units; and (c) while in operation the device must maintain a thermal efficiency of at least 60%, calculated in terms of the recovered energy compared with the thermal value of the fuel; and (d) the device must export and utilize at least 75% of the recovered energy calculated on an annual basis. In this calculation, no credit shall be given for recovered heat used internally in the same unit. (Examples of internal use are the preheating of fuel or combustion air, and the driving of induced or forced draft fans or feedwater pumps.)

Bulk Scrap Metal Item means a large item composed of worn out metal or a metal product that has outlived its original use, such as automobile hulks, railroad cars, steel beams from torn down buildings or bridges, and household appliances. (See also “Scrap metal”.)

By-product means a material that is not one of the primary products of a production process and is not solely or separately produced by the production process. Examples are process residues such as slags or distillation column bottoms. The term does not include a co-product that is produced for the general public's use and is ordinarily used in the form it is produced by the process.

Cathode Ray Tube (CRT) means an intact glass tube used to provide the visual display in televisions, computer monitors and certain scientific instruments such as oscilloscopes. Monochrome (i.e., black and white) CRTs are not regulated as hazardous waste. [For purposes of 310 CMR 30.10: Cathode Ray Tube (CRT), "intact" means a CRT (and not an electronic product as a whole) having no component destroyed or removed; this requirement does not prohibit the disassembly of an electronic product. Therefore, a crushed or ground-up CRT does not satisfy this definition. However, incidental numbers of CRTs broken unintentionally during routine handling and transportation, are considered "intact".]

Certification means a statement by a person which is true to the best of that person's knowledge and belief.

Class A or Class SA Segment of a Surface Water Body means a segment of an inland or coastal surface water body so assigned said class pursuant to 314 CMR 4.00.

Closed Portion means that portion of a facility which an owner or operator has closed in compliance with the approved facility closure plan and all applicable closure requirements. (See also "active portion".)

Closure (See "final closure" and "partial closure".

Closure Plan means the plan for closure prepared pursuant to 310 CMR 30.580 through 30.586.

Collect means gather at a place or places away from the premises of a licensee, e.g., a transporter collecting hazardous waste from several sources.

Commercial Chemical Product or Manufacturing Chemical Intermediate Having the Generic Name Listed in 310 CMR 30.133 or 30.136 means a chemical substance which is manufactured or formulated for commercial or manufacturing use and which consists of the commercially pure grade of the chemical, any technical grades of the chemical that are produced or marketed, and

12/29/06 310 CMR - 913 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

30.010: continued

all formulations in which the chemical is the sole active ingredient. It does not mean a waste, such as a manufacturing process waste, that contains any of the substances listed in 310 CMR 30.133 or 30.136. Where a manufacturing process waste is deemed to be a hazardous waste because it contains a substance listed in 310 CMR 30.133 or 30.136, such waste will be listed in either 310 CMR 30.131 or 30.132 or will be identified as a hazardous waste by the characteristics set forth in 310 CMR 30.120 through 30.125.

Commissioner means the Commissioner of the Department of Environmental Protection or his designee.

Completely Enclosed Recycling System means a unit that is primarily for the recycling of a regulated recyclable material and that is totally enclosed and is managed so that the regulated recyclable material is accumulated in tanks or containers in compliance with 310 CMR 30.205(19). (See 310 CMR 30.010, “Treatment which is an integral part of the manufacturing process” for a description of a totally enclosed unit.)

Component means any constituent part of a unit or group of constituent parts of a unit which are assembled to perform a specific function (e.g. a pump seal, pump, kiln liner, kiln thermocouple.)

Compressed Gas means any material or mixture having in the container an absolute pressure exceeding 40 pounds per square inch at 70ºF. or, regardless of the pressure at 70ºF., having an absolute pressure exceeding 104 pounds per square inch at 130ºF.

Construction, with respect to any project of construction under M.G.L. c. 21C, means (a) the erection or building of new structures and acquisition of lands or interests therein, or the acquisition, replacement, expansion, remodeling, alteration, modernization, or extension of existing structures, and (b) the acquisition and installation of initial equipment for, or required in connection with, new or newly acquired structures of the expanded, remodeled, altered, modernized or extended part of existing structures (including trucks and other motor vehicles, and tractors, cranes, and other machinery) necessary for the proper utilization and operation of the facility after completion of the project; and includes preliminary planning to determine the economic and engineering feasibility and health and safety aspects of the project, the engineering, architectural, legal, fiscal, and economic investigations and studies, and any surveys, designs, plans, working drawings, specifications, and other action necessary for the carrying out of the project, and (c) the inspection and supervision of the process of carrying out the project to completion.

Container means any portable device in which a hazardous waste is stored, transported, treated, disposed of, or otherwise handled.

Contingency Plan means a document setting out an organized, planned, and coordinated course of action to be followed in case of a fire, explosion or release of hazardous waste or hazardous waste constituents which could threaten public health, safety, or welfare, or the environment.

Corrosion Expert means a person who, by reason of his knowledge of the physical sciences and the principles of engineering and mathematics, acquired by a professional education and related practical experience, is qualified to engage in the practice of corrosion control on buried or submerged metal piping systems and metal tanks. Such a person shall be certified by the National Association of Corrosion Engineers (NACE) or be a Massachusetts registered professional engineer who has certification or licensing that includes education and experience in corrosion control on buried or submerged metal piping systems and metal tanks.

Crime Involving Moral Turpitude means a crime involving fraud, misrepresentation or deceit, including but not limited to fraud, misrepresentation or deceit in conducting business or obtaining a license or permit as well as any other crime that adversely reflects on the applicant or licensee's competence to transport, use, collect, store, treat or dispose of hazardous waste.

Current Closure Cost Estimate means the most recent cost estimate prepared pursuant to 310 CMR 30.903.

5/1/09 310 CMR - 914 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

30.010: continued

Current Post-closure Cost Estimate means the most recent cost estimate prepared pursuant to 310 CMR 30.905.

Demonstration means the initial exhibition of a new technology, process or practice or a significantly new combination or use of technologies, processes or practices, subsequent to the development stage, for the purpose of proving technological feasibility and cost effectiveness.

Department means the Massachusetts Department of Environmental Protection.

Designated Facility means a person or facility described in 310 CMR 30.305 that has been designated on the manifest by the generator pursuant to 310 CMR 30.310 (manifesting requirements).

Destination Facility means a facility that is authorized to receive and recycle, treat or dispose of a particular category of universal waste, except those management activities described in 310 CMR 30.1034(1), (3), (4) and (5) as well as 30.1044(1), (3), (4) and (5). A facility at which a particular category of universal waste is only accumulated is not a destination facility for purposes of managing that category of universal waste. If located in Massachusetts, these facilities shall be properly licensed in compliance with 310 CMR 30.800, or be properly permitted in compliance with 310 CMR 30.290.

5/1/09 310 CMR - 914.1 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

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5/1/09 310 CMR - 914.2 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

30.010: continued

Dike means an embankment or ridge of either natural or man-made materials used to prevent the movement of liquids, sludges, solids, or other materials.

Directly to a Facility means a hazardous waste or regulated recyclable material shipment is collected by a transporter at the point of generation and remains in transportation at all times from the time of acceptance from the generator to delivery of the shipment at the destination facility designated on the manifest or shipping paper by the generator. Such shipments are in transportation as long as the hazardous waste or regulated recyclable material remains loaded on the transporter's vehicle after acceptance and until delivery to the designated destination facility. However, the transfer of containers of hazardous waste and regulated recyclable material between vehicles at transfer stations, as allowed under state, federal and local laws and regulations, and receipt and intermediate storage of Class A regulated recyclable material at Massachusetts licensed treatment, storage and disposal facilities, may be considered in transportation for the purpose of 310 CMR 30.010: Directly to a Facility.

Discharge or Hazardous Waste Discharge means the accidental or intentional spilling, leaking, pumping, pouring, emitting, emptying or dumping of hazardous waste into or on any land, surface water, ground water, or into the atmosphere.

Disposal means the discharge, deposit, injection, dumping, spilling, leaking, incineration or placing of any hazardous waste into or on any land or water so that such hazardous waste or any constituent thereof may enter the environment or be emitted into the air or discharged into any waters, including ground waters.

Disposal Facility (See "facility").

Dredged Material means sediment and associated materials that are moved from below the mean high tide line for coastal waters and below the high water mark for inland waters during dredging activities.

Drinking Water Supplies means ground or surface water currently in use or which may reasonably be expected to be used in the future as sources of public or private drinking water supply.

DOT means the United States Department of Transportation.

Elementary Neutralization means the reacting of an acid or base with an aqueous corrosive hazardous waste in an elementary neutralization unit for the intended and actual purpose of rendering the waste less hazardous or non-hazardous.

Elementary Neutralization Unit means a device which: (a) is used for neutralizing aqueous wastes that are hazardous solely because they exhibit the corrosivity characteristic defined in 310 CMR 30.123(1)(a) or that are listed in 310 CMR 30.130 solely because they exhibit the corrosivity characteristic; and (b) meets the definition of a tank, tank system or container;

Empty Container. See 310 CMR 30.106.

Environmental Monitor means the publication of that name issued by the MEPA Unit of the Massachusetts Executive Office of Environmental Affairs pursuant to 301 CMR 11.19.

EPA means the United States Environmental Protection Agency.

EPA Hazardous Waste Number means the number assigned by EPA to each listed hazardous waste or to each hazardous waste characteristic in 40 CFR Part 261. (See also Massachusetts hazardous waste number.)

5/1/09 310 CMR - 915 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

30.010: continued

EPA Identification Number means the number assigned by the Department to each generator, transporter, user, and treatment, storage, or disposal facility. (See also Massachusetts identification number.)

Equivalent Method means any testing or analytical method approved, in writing, by the Administrator based upon the standards and procedures prescribed by 40 CFR 260.20 and 260.21. The Department will consider any method so approved to be an acceptable method under the circumstances for which it was approved even if the method does not yet appear within “Test Methods for Evaluating Solid Waste, Physical/Chemical Methods,” EPA Publication SW-846, as incorporated by reference at 310 CMR 30.012.

Existing Hazardous Waste Incinerator (See "existing unit").

Existing Hazardous Waste Management (HWM) Facility or Existing Facility means a facility which was in operation, or for which construction commenced, on or before November 19, 1980. A facility has commenced construction if: (a) The owner or operator has obtained the Federal, State and local approvals or permits necessary to begin physical construction; and (b) either: 1. A continuous on-site, physical construction program has begun; or 2. The owner or operator has entered into contractual obligations-which cannot be cancelled or modified without substantial loss-for physical construction of the facility to be completed within a reasonable time.

Existing Installation means a manufacturing plant or other industrial establishment which was in existence on October 15, 1983, or for which construction had commenced on or before October 15, 1983.

Existing Pile (See "existing unit").

Existing Portion means the existing unit's land surface area which was specifically included in the original Part A permit application and on or in which hazardous waste(s) was placed prior to the issuance of a license pursuant to 310 CMR 30.000.

Existing Surface Impoundment or Existing Impoundment (See "existing unit").

Existing Tank System or Existing Component means a tank system or component that: (a) is used for the storage or treatment of hazardous waste and that is in operation, or for which installation commenced on or prior to: 1. July 14, 1986 for those tank systems which are owned or operated by a Small Quantity Generator, are new underground tanks, or are tanks which cannot be entered for inspection (i.e., tanks which are subject to the requirements of the federal Hazardous and Solid Waste Amendments); or 2. December 1, 1988 for all other types of tank systems (e.g., tank systems which are not owned or operated by a Small Quantity Generator and are either existing underground tanks or tanks that can be entered for inspection). (b) Installation will be considered to have commenced if the owner or operator has obtained all federal, state, and local approvals or permits necessary to begin physical construction of the site or installation of the tank system and if either 1. a continuous on-site physical construction or installation program has begun, or 2. the owner or operator has entered into contractual obligations, which cannot be cancelled or modified without substantial loss, for physical construction of the site or installation of the tank system to be completed within a reasonable time.

Existing Unit means a storage, treatment or disposal unit (e.g., existing surface impoundment, tank, pile, incinerator) which was specifically included in the original Part A permit application and in which hazardous waste(s) was placed prior to the issuance of a license pursuant to 310 CMR 30.000, or a unit which is otherwise lawfully in use at the time the license application is submitted to the Department.

11/4/05 310 CMR - 916 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

30.010: continued

Manifest means the shipping document EPA Form 8700-22 (including, if necessary, EPA Form 8700-22A), originated and signed by the generator or offeror in accordance with the instructions in the Appendix to 40 CFR part 262 and the applicable requirements of 40 CFR parts 262 through 265, as in effect on July 1, 2006.

Manifest Tracking Number means the alphanumeric identification number (i.e., a unique three letter suffix preceded by nine numerical digits), which is pre-printed in Item 4 of the Manifest by a registered source.

Massachusetts Hazardous Waste Number means the number assigned by the Department to each hazardous waste which is listed by the Department and which does not have an EPA hazardous waste number.

Massachusetts Identification Number means the number assigned by the Department to each Very Small Quantity Generator, as described in 310 CMR 30.353, or Small Quantity Generator of waste having only Massachusetts hazardous waste numbers, as described in 310 CMR 30.351.

Media means soils, groundwater and sediments but not debris or other wastes such as sludges.

Mercury-containing Device means any electrical product or component (excluding batteries, lamps and thermostats) which contains elemental mercury that is necessary for its operation and is housed within an outer metal, glass or plastic casing. Mercury-containing devices include but are not limited to thermocouples, thermometers, manometers, barometers, sphygmomanometers, electrical switches and relays, as well as certain gas flow regulators and water meters.

Mercury-containing Lamp means any bulb or tube portion of an electric lighting device specifically designed to produce radiant energy, including but not limited to incandescent, fluorescent, high intensity discharge, and neon lamps in which mercury is purposefully introduced by the manufacturer for the operation of the lamp.

Mining Overburden Returned to the Mine Site means any material overlying an economic mineral deposit which is removed to gain access to that deposit and is then used for reclamation of a surface mine.

Miscellaneous Unit means a hazardous waste management unit where hazardous waste is treated, stored, or disposed of and that is not one of the following: a container, tank, surface impoundment, waste pile, land treatment unit, landfill, incinerator, boiler, industrial furnace, unit excluded from licensing requirements pursuant to 310 CMR 30.801, or a research facility.

Mixed Waste means, any waste that contains both hazardous waste and source, special nuclear, or by-product material as defined by the Atomic Energy Act of 1954, as amended, 43 U.S.C. § 2011 et seq. For purposes of 310 CMR 30.010: Mixed Waste, radioactive waste oil shall not be considered a mixed waste, and shall be exempt from all provisions of 310 CMR 30.000. Mixed wastes that are exempted by the Nuclear Regulatory Commission (NRC) Beneath Regulatory Concern shall be regulated as hazardous wastes subject to all applicable provisions of 310 CMR 30.000.

Municipal or Industrial Wastewater Treatment Facility Permitted Under M.G.L. c. 21, § 43 means: (a) a publicly owned treatment works having a permit issued pursuant to 314 CMR 2.00 and 3.00 or 5.00; or (b) a wastewater treatment unit permitted pursuant to 314 CMR 2.00 and 3.00 or 5.00 which treats, or treats and accumulates incidental to such treatment, influent wastewater which is a hazardous waste; or (c) a surface impoundment permitted under 314 CMR 2.00 and 3.00 or 5.00 which: 1. treats an influent wastewater which is a hazardous waste; or 2. treats and accumulates incidental to such treatment, a wastewater treatment sludge which is a hazardous waste.

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30.010: continued

If a treatment works receives hazardous waste from one or more off-site sources, all treatment, storage and disposal units, and all accumulation at the site of the treatment works, are regulated under M.G.L. c. 21C and are not part of a "municipal or industrial wastewater treatment facility permitted under M.G.L. c. 21, § 43". However, the discharge is still subject to regulation under M.G.L. c. 21, § 43.

Naturally Occurring and/or Accelerator-produced Radioactive Material (NARM) means radioactive materials that: (a) Are naturally occurring and are not source, special nuclear, or byproduct materials defined by the Atomic Energy Act of 1954; or (b) Are produced by an accelerator.

New Facility means any facility which is not an existing facility.

New Hazardous Waste Incinerator (See "New unit").

New Installation means a manufacturing plant or other industrial establishment which was not in existence on October 15, 1983 or for which construction had not begun on or before October 15, 1983.

New Pile (See "New unit").

New Surface Impoundment or New Impoundment (See "New unit").

New Tank (See "New unit").

New Tank System or New Tank Component means a tank system or component that is used for the storage or treatment of hazardous waste and for which installation commenced after: (a) July 14, 1986 for those tank systems which are owned or operated by a Small Quantity Generator, are new underground tanks, or are tanks which cannot be entered for inspection (i.e., tanks which are subject to the requirements of the federal Hazardous and Solid Waste Amendments); or (b) December 1, 1988 for all other types of tank systems (e.g., tank systems which are not owned or operated by a Small Quantity Generator and are either existing underground tanks or tanks that can be entered for inspection). (See also "existing tank system" regarding when installation will be considered to have commenced.)

New Unit means a treatment, storage or disposal unit (e.g., new impoundment, tank, pile, incinerator) which is not an existing unit.

Noisome or Unwholesome Odor means an objectionable odor detectable off the site of a facility.

Nonsudden Accidental Occurrence means an accidental occurrence which takes place over time and which involves continuous or repeated exposure to conditions.

Non-commodity CRT means a CRT that has been determined will not be returned to service as an operable CRT and has not been disposed1. CRTs that are disposed of intact, and CRTs that are crushed or ground up (excluding monochrome CRTs)2 are subject to 310 CMR 30.000.

Oil means petroleum in any form including crude oil, fuel oil, petroleum derived synthetic oil and refined oil products, including petroleum distillates such as mineral spirits and petroleum naphtha composed primarily of aliphatic hydrocarbons. It does not mean petrochemicals or animal or vegetable oils.

1 The implication is that all CRTs are recyclable once they are determined not to be commodities as operable CRTs, but is takes an affirmative determination for a CRT to convert from a commodity.

2 Monochrome CRTs do not fail TCLP, but remain subject to the waste ban in MA. Accordingly, monochrome CRTs can only be disposed of as solid waster outside of MA.

5/1/09 310 CMR - 922 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

30.010: continued

Open Burning means the combustion of any material without the following characteristics: (a) Control of combustion air to maintain adequate temperature for efficient combustion, (b) Containment of the combustion-reaction in an enclosed device to provide sufficient residence time and mixing for complete combustion, and (c) Control of emission of the gaseous combustion products. Open burning includes above or underground smoldering fires. (See also "thermal treatment".)

Operator means the person responsible for the over-all operation of a facility.

Owner means any person who has legal ownership of a facility or any part of a facility, or who has effective control over an activity subject to regulation under 310 CMR 30.000.

Partial Closure means the act or process of deactivating one or more hazardous waste management units at a facility in compliance with applicable closure requirements, while one or more other hazardous waste management units at the facility remain, or are intended to remain, active or in operation.

PCBs or Polychlorinated Biphenyls means any chemical substance that is limited to the biphenyl molecule that has been chlorinated to varying degrees or any combination of substances which contains such substance.

5/1/09 310 CMR - 922.1 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

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5/1/09 310 CMR - 922.2 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

30.010: continued

Person means any agency or political subdivision of the federal government or Commonwealth, any state, public or private corporation or authority, individual, trust, firm, joint stock company, partnership, association, or other entity, and any officer, employee or agent of said person, and any group of said persons.

Personnel or Facility Personnel means all persons who work at or for, or oversee the operations of, a hazardous waste facility or a hazardous waste transporter, and whose actions or failure to act may result in non-compliance with the requirements of M.G.L. c. 21C or 310 CMR 30.000.

Pesticide means a substance or mixture of substances intended for preventing, destroying, repelling, or mitigating any pest, and any substance or mixture of substances intended for use as a plant regulator, defoliant, or desiccant; provided that the term "Pesticide" shall not include any article that is a "new animal drug" within the meaning of § 201(w) of the Federal Food, Drug and Cosmetic Act, or that has been determined by the Secretary of the United States Department of Health, Education and Welfare not to be a new animal drug by a regulation establishing conditions of use for the article, or that is an animal feed within the meaning of § 201(x) of such act.

Petrochemical means an individual organic chemical compound for which petroleum or natural gas is the ultimate raw material, except that aliphatic hydrocarbon compounds, which maintain, after use, closed cup flashpoints equal to or greater than 140/ F (and which are not otherwise a characteristic or listed hazardous waste) are oils. A mixture of a petrochemical and a petroleum distillate that has a closed cup flashpoint equal to or greater than 140/ F (and which is not otherwise a characteristic or listed hazardous waste if discarded) is oil.

[NOTE: Oil refinery conversion processes change the size and/or structure of hydrocarbon molecules in petroleum distillates to produce petrochemicals (e.g. olefinic and aromatic organic compounds) and their derivatives (e.g. monomers used to produce plastics, synthetic fibers and rubbers)].

Pile means any non-containerized aggregation of solid, nonflowing hazardous waste that is being treated or stored.

Planned Public Underground Drinking Water Source means groundwater within land which has been acquired for drinking water purposes by a city, town, district, or other body politic which supplies drinking water to the public, regardless of the sustained yield of the groundwater source, provided that the land is acquired for that purpose before the date that the owner or operator of a proposed facility submits: (a) a license application to the Department pursuant to 310 CMR 30.000; or (b) a notice of intent pursuant to 990 CMR 4.00, whichever is submitted first.

Point-source means any discernible, confined, and discrete conveyance, including but not limited to any pipe, ditch, channel, tunnel, conduit, well, discrete fissure, container, rolling stock, concentrated animal feeding operation, or vessel or other floating craft, from which pollutants are or may be discharged. This term does not include return flows from irrigated agriculture.

Polyhalogenated Aromatic Hydrocarbons means hazardous waste listed in 310 CMR 30.131 and having any of the following Hazardous Waste Numbers: F020, F021, F022, F023, F026, or F027.

Post-closure means the period after the time closure has been completed and approved by the Department.

Post-closure Plan means the plan for post-closure care prepared pursuant to 310 CMR 30.590.

Potential Private Underground Drinking Water Source means a groundwater source capable of sustaining a yield of between two and 100 gallons per minute of drinking water and which has less than 10,000 mg./liter total dissolved solids. This definition does not include groundwater beneath an area which is served by a public water system on the date that the owner or operator of a proposed facility submits:

5/1/09 310 CMR - 923 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

30.010: continued

(a) a license application to the Department pursuant to 310 CMR 30.000; or (b) A notice of intent pursuant to 990 CMR 4.00, whichever is submitted first.

Potential Public Underground Drinking Water Source means a groundwater source capable of sustaining a yield of 100 gallons or more per minute of drinking water and which has less than 10,000 mg./liter total dissolved solids. This definition does not include an aquifer which has been exempted from being an underground source of drinking water pursuant to 310 CMR 27.00: Underground Water Source Protection.

Precious Metals means gold, silver, platinum, palladium, irridium, osmium, rhodium, or ruthenium, or any combination of these.

Private Underground Drinking Water Source (See "potential private underground drinking water source" and existing well").

Public Underground Drinking Water Source (See "actual public underground drinking water source", "planned underground drinking water source", and "potential public underground drinking water source").

Public Water System means a system for the provision to the public of piped water for human consumption as defined in 310 CMR 22.02.

Publicly Owned Treatment Works or POTW means any device or system used in the treatment (including recycling and reclamation) of municipal sewage or industrial wastes of a liquid nature which is owned by a public entity. A POTW includes any sewers, pipes, or other conveyances only if they convey wastewater to a POTW providing treatment.

RCRA means the federal Solid Waste Disposal Act as revised by the Resource Conservation and Recovery Act of 1976, 42 U.S.C. §§ 6901 et. seq.

Recyclable Material means any material other than an inherently waste-like material that is used, reused or reclaimed. (a) Used or reused material means any material that is either: 1. employed as an ingredient (including use as an intermediate) in an industrial process to make a product (for example, distillation bottoms from one process used as feedstock in another process). However, a material will not satisfy this condition if distinct components of the material are recovered as separate end products (as when metals are recovered from metal-containing secondary materials); or 2. employed in a particular function or application as an effective substitute for a commercial product (for example, spent pickle liquor used as phosphorous precipitant and sludge conditioner in wastewater treatment). (b) Reclaimed material means any material that is processed to recover a usable product or that is regenerated. Examples are recovery of lead values from spent batteries and regeneration of spent solvents.

Refuse means all solid or liquid waste materials, including garbage and rubbish.

Regional Administrator means the Regional Administrator for the EPA Region in which the facility is located, or his designee.

Regulated Recyclable Material means any recyclable material which: (a) has a characteristic described in 310 CMR 30.120 through 310 CMR 30.125, or (b) is listed or otherwise described in 310 CMR 30.131 through 310 CMR 30.136, or (c) has been determined by the Department to be a hazardous waste pursuant to 310 CMR 30.144.

Release means any spilling, leaking, pumping, pouring, emitting, emptying, discharging, injecting, escaping, leaching, dumping or disposing into the environment, but excludes: (a) emissions from the exhaust of an engine;

7/13/07 310 CMR - 924 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

30.010: continued

Universal Waste Transporter means a person engaged in the off-site transportation of universal waste by air, rail, highway, or water.

Unsaturated Zone or Zone of Aeration means the zone between the land surface and the water table.

Unused Waste Oil means oil that is superfluous or abandoned fuel, storage tank bottoms, clean- out sludge, sludge from the separation of unused oil from a non-hazardous waste, contaminated oil resulting from the clean-up of a release of oil, and any other waste oil that is not used waste oil.

Uppermost Aquifer means the aquifer nearest the natural ground surface and any lower aquifer that is hydraulically interconnected with this aquifer.

Use Constituting Disposal means the application or placement on the land of a recyclable material either without mixing with any other substance(s), or after mixing or combining with any other substances.

Used Oil Fuel means a regulated recyclable material (a) that is recycled by being burned for energy recovery, and (b) that is: 1. waste oil, or 2. any fuel, other than hazardous waste fuel, produced from waste oil by processing, blending, or other treatment, and (c) that is managed in compliance with 310 CMR 30.200.

Used Oil Fuel Fired Space Heater means a space heater that burns used oil fuel for energy recovery.

Used Waste Oil means used and/or reprocessed, but not subsequently re-refined, oil that has served its original intended purpose. Such oil includes, but is not limited to, fuel oil, engine oil, gear oil, cutting oil, petroleum distillates such as mineral spirits and petroleum naphtha composed primarily of aliphatic hydrocarbons, transmission fluid, and dielectric fluid. It does not mean petrochemicals or animal or vegetable oils.

USPS means the United States Postal Service.

Utility Boiler means a boiler that is used to produce electric power, steam, or heated or cooled gases or fluids for sale.

Vehicle Identification Device means the document which identifies a specific vehicle used to transport hazardous waste, and which is issued by the Department pursuant to M.G.L. c. 21C, § 7.

Very Small Quantity Generator of Class A Regulated Recyclable Material (RRM) means a person who generates less than 100 kilograms of RRM in a calendar month, no acutely hazardous RRM, and accumulates less than 1000 kilograms of RRM at any one time.

Vessel means every type of watercraft used or capable of being used as a means of transportation on the water.

Washout means the movement of hazardous waste from the active portion of a facility as a result of flooding.

Waste: (a) Waste means any discarded material. A waste may be a solid, liquid, semi-solid, or contained gaseous material, or any refuse or sludge, and may result from industrial, commercial, mining, or agricultural operations, or from municipal or other governmental activities, or from the activities of other persons.

5/1/09 310 CMR - 929 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

30.010: continued

(b) Discarded material means any material that is 1. abandoned by being disposed of, burned, or incinerated, or 2. accumulated, stored, or treated before or in lieu of being disposed of, burned, or incinerated, or 3. inherently waste-like material, or 4. recycled in a manner that is not in compliance with 310 CMR 30.000. (c) Inherently waste-like material means material that is 1. hazardous waste numbered F020, or 2. hazardous waste numbered F021 (except when used as an ingredient to make a product at the site of generation), or 3. hazardous waste numbered F022, or 4. hazardous waste numbered F023, or 5. hazardous waste numbered F026, or 6. hazardous waste numbered F028, or 7. designated as such by the Department using the following criteria: a. the materials are ordinarily disposed of, burned, or incinerated; or b. the materials contain one or more toxic constituents listed in 310 CMR 30.160 that are not ordinarily in raw materials or products for which the materials substitute (or are found in raw materials or products in smaller concentrations) and are not used or reused during the recycling process; and c. the material may pose a substantial hazard to public health, safety, or welfare, or the environment when recycled.

Waste Oil means used or unused waste oil (or any mixture thereof) that is not otherwise hazardous pursuant to 310 CMR 30.120 through 30.136, except that used waste oil with a flash point greater than or equal to 100/ F and less than 140/ F (solely through use) remains subject to regulation as used waste oil.

Waste Pile (See "pile").

Wastewater Treatment Unit means a device which: (a) Is part of a wastewater treatment facility which is subject to regulation pursuant to § 307(b) (pretreatment provisions) or § 402 (NPDES program or equivalent state program) of the Federal Clean Waters Act; and (b) Either: 1. treats or recycles an influent wastewater which is a hazardous waste; or 2. treats or recycles a wastewater treatment sludge which is a hazardous waste; or 3. is used for the accumulation or storage of a wastewater treatment sludge which is a hazardous waste, prior to the reintroduction of such sludge into the treatment process; and (c) meets the definition of a tank or tank system. 310 CMR 30.010: Wastewater Treatment Unit does not include a unit used solely for the accumulation or storage of a wastewater treatment sludge prior to disposal on-site or prior to transportation to an off-site facility. Each such unit is subject to the requirements of 310 CMR 30.340: On-Site Accumulation or 310 CMR 30.690: Storage and Treatment in Tanks, as the case may be.

Water (Bulk Shipment) or Bulk Shipment Water means the bulk transportation of hazardous waste which is loaded or carried on board a vessel without containers or labels.

Watershed means an area which is drained by or drains into a hydrologic feature such as a brook, creek, swamp, stream, river, spring, lake, pond, great pond, estuary, or ocean.

Well means a bored, drilled, or driven-shaft, or a dug-hole, whose depth is greater than its largest surface dimension.

Well Injection (See "underground injection".)

2/27/04 310 CMR - 930 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

30.104: continued

a. Chrome (blue) trimmings generated by the following subcategories of the leather tanning and finishing industry; hair pulp/chrome tan/retan/wet finish; hair save/chrome tan/retan/wet finish; retan/wet finish; no beamhouse; through-the-blue; and shearling. b. Chrome (blue) shavings generated by the following subcategories of the leather tanning and finishing industry: Hair pulp/chrome tan/retan/wet finish; hair save/chrome tan/retan/wet finish; retan/wet finish; no beamhouse; through-the-blue; and shearling. c. Buffing dust generated by the following subcategories of the leather tanning and finishing industry; hair pulp/chrome tan/retan/wet finish; hair save/chrome tan/retan/wet finish; retan/wet finish; no beamhouse; through-the-blue. d. Sewer screenings generated by the following subcategories of the leather tanning and finishing industry: Hair pulp/chrome tan/retan/wet finish; hair save/chrome tan/retan/wet finish; retan/wet finish; no beamhouse; through-the-blue; and shearling. e. Wastewater treatment sludges generated by the following subcategories of the leather tanning and finishing industry: Hair pulp/chrome tan/retan/wet finish; hair save/chrome tan/retan/wet finish; retan/wet finish; no beamhouse; through-the-blue; and shearling. f. Wastewater treatment sludges generated by the following subcategories of the leather tanning and finishing industry: Hair pulp/chrome tan/retan/wet finish; hair save/chrome tan/retan/wet finish; and through-the-blue. g. Waste scrap leather from the leather tanning industry, the shoe manufacturing industry, and other leather product manufacturing industries. h. Wastewater treatment sludges from the production of TiO2 pigment using chromium-bearing ores by the chloride process. (m) Waste from the extraction, beneficiation, and processing of ores and minerals (including coal, phosphate rock and overburden from the mining of uranium ore). For purposes of 310 CMR 30.104(2)(m), beneficiation of ores and minerals is restricted to the activities enumerated by 40 CFR 261.4(b)(7)(i) and waste from the processing of ores and minerals includes only those wastes specifically identified in 40 CFR 261.4(b)(7)(ii)(A) through (T), as in effect on July 1, 2001, and incorporated by reference herein. (n) Cement kiln dust waste. (o) Waste which consists of discarded arsenical-treated wood or wood products which fails the test for the Toxicity Characteristic for Hazardous Waste Codes D004 through D017 and which is not a hazardous waste for any other reason if the waste is generated by persons who utilize the arsenical-treated wood and wood products for these materials' intended end use. (p) Petroleum-contaminated media and debris that fail the test for the Toxicity Characteristic of 310 CMR 30.125 (Hazardous Waste Codes D018 through D043 only) when managed in compliance with the requirements of 310 CMR 40.000. (q) Non-commodity CRTs. CRTs that are disposed of intact, and CRTs that are crushed or ground up (excluding monochrome CRTs) are subject to 310 CMR 30.000. (r) Explosives which are destroyed by, or whose destruction is supervised, by U.S. Army Explosive Ordinance personnel, if such explosives are generated by a Small Quantity Generator, as that term is defined in 310 CMR 30.351(1) and (2), such destruction does not involve land disposal, and such destruction occurs during an immediate response to an immediate threat to human health, safety or welfare or to the environment, by U.S. Army Explosive Ordnance personnel. (s) Explosives which are destroyed by, or whose destruction is supervised by the Department of Public Safety pursuant to M.G.L. c. 148, § 9 and codified at 527 CMR 13.00 et seq., if such explosives are generated by a Small Quantity Generator, as that term is defined in 310 CMR 30.351(1) and (2), such destruction does not involve land disposal, and such destruction occurs during an immediate response to an immediate threat to human health, safety or welfare or to the environment, by Department of Public Safety personnel. (t) Wastes with infectious characteristics, which are regulated by the Department of Public Health pursuant to M.G.L. c. 111, §§ 3 and 51 through 56. (u) Amalgam waste that is hazardous solely because it fails the test for the Toxicity Characteristic of 310 CMR 30.125 for Hazardous Waste Code D009 when managed by dental facilities in compliance with the requirements of 310 CMR 73.00. 1. Massachusetts facilities that reclaim amalgam waste described in 310 CMR 30.104(2)(u) must comply with the requirements of 310 CMR 30.200 and 30.800, as applicable.

3/24/06 310 CMR - 943 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

30.104: continued

2. Massachusetts facilities that consolidate but do not reclaim shipments of amalgam waste described in 310 CMR 30.104(2)(u) must, prior to shipping off-site for reclamation: a. accumulate amalgam waste in containers that are sealed and structurally sound; and b. accumulate amalgam waste for no more than one year. (v) Medicinal nitroglycerin, in finished dosage form such as tablets or capsules, that would otherwise meet the description of a P081 listed waste, is not subject to hazardous waste regulation pursuant to 310 CMR 30.000 so long as, upon generation, the following conditions are met: 1. the waste does not meet the description of any other listing; and 2. the waste does not exhibit any hazardous waste characteristic, including the characteristic for which it was originally listed (i.e. the reactivity characteristic, as described at 310 CMR 30.124).

(3) Wastes Subject to Conditional Exemptions. (a) Samples of waste collected for the sole purpose of testing to determine their properties, characteristics or composition while being managed pursuant to 310 CMR 30.104(3)(a)1. and provided that the generator or sample collector complies with the requirements of 310 CMR 30.104(3)(a) 2. and 3. 1. The exemption established in 310 CMR 30.104(3)(a) is only applicable when: a. The sample is being transported to a laboratory for the purpose of testing; or b. The sample is being transported back to the sample collector after testing; or c. The sample is being stored by the sample collector before transport to a laboratory for testing; or d. The sample is being stored in a laboratory before testing; or e. The sample is being stored in a laboratory after testing but before it is returned to the sample collector; or f. The sample is being stored temporarily in the laboratory after testing for a specific purpose (for example, until conclusion of a court case or enforcement action where further testing of the sample may be necessary). 2. In order to qualify for the exemption in 310 CMR 30.104(3)(a), a sample collector shipping samples to a laboratory and a laboratory returning samples to a sample collector shall: a. Comply with DOT, USPS, or any other applicable shipping requirements; or b. Comply with the following requirements if the sample collector determines that DOT, USPS, or other shipping requirements do not apply to the shipment of the sample: (i) Assure that the following information accompanies the sample: (A) The sample collector's name mailing address and telephone number; (B) The laboratory's name, mailing address, and telephone number; (C) The quantity of the sample; (D) The date of shipment; and (E) A description of the sample. (ii) Package the sample so that it does not leak, spill, or vaporize from its packaging. 3. This exemption shall not apply when the sample is discarded or if the laboratory determines that the waste is hazardous but the laboratory is no longer meeting any of the conditions stated in 310 CMR 30.104(3)(a)1.e. or f. (b) Treatability Study Samples. Except as provided in 310 CMR 30.104(3)(b) and (c), any person who generates or collects samples for the purpose of conducting treatability studies is exempt from the requirements of 310 CMR 30.000, and need not include treatability study samples in quantity determinations made pursuant to 310 CMR 30.340(1), 310 CMR 30.351(1) and 310 CMR 30.353(1), so long as such samples are managed pursuant to 310 CMR 30.104(3)(b). 1. The exemption established in 310 CMR 30.104(3)(b) is only applicable when: a. The generator or sample collector is collecting and preparing a sample for transportation; or b. The generator or sample collector is accumulating or storing a sample prior to transportation to a laboratory or testing facility; or

5/1/09 310 CMR - 944 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

30.104: continued

c. The generator or sample collector is transporting a sample to a laboratory or testing facility for the purpose of conducting a treatability study; or d. The sample is being transported back to the generator or sample collector after completion of the treatability study. 2. Any person who generates or collects samples for the purpose of conducting a treatability study shall comply with the following requirements: a. The generator or sample collector shall accumulate for treatability studies a total of no more than 10,000 kilograms of media contaminated with non-acutely hazardous waste, 1,000 kilograms of non-acutely hazardous waste other than contaminated media, 1 kilogram of acutely hazardous waste, or 2,500 kilograms of media contaminated with acutely hazardous waste for each treatment process being evaluated for each generated waste stream; and

5/1/09 310 CMR - 944.1 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

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5/1/09 310 CMR - 944.2 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

30.104: continued

f. When each treatability study was conducted; g. The final disposition of residues and unused sample from each treatability study; h. The names and addresses of all transporters or shippers (including the USPS) of wastes; i. Types of wastes including waste codes shipped or transported; and j. Dates of each shipment. 12. The laboratory or testing facility shall determine whether any unused sample or residues generated by the treatability study are hazardous waste pursuant to 310 CMR 30.100 and if so, are subject to 310 CMR 30.000, unless the residues and unused samples are returned to the sample originator pursuant to 310 CMR 30.104(3)(b). 13. The laboratory or testing facility shall comply with the following closure requirements: a. 310 CMR 30.585 (for equipment, structures, and soil); b. 310 CMR 30.689 (for containers); and c. 310 CMR 30.699 (for tank systems). 14. The laboratory or testing facility shall notify the Department by letter when the facility is no longer planning to conduct any treatability studies at the site and certifies compliance with the closure requirements referenced in 310 CMR 30.104(3)(c)13. (d) Research Study Samples. Except as provided in 310 CMR 30.104(3)(d) and 310 CMR 30.864, any person who generates or collects samples for the purpose of conducting a research study is exempt from the requirements of 310 CMR 30.000, and need not include research study samples in quantity determinations made pursuant to 310 CMR 30.340(1), 310 CMR 30.351(1) and 30.353(1), so long as such samples are managed pursuant to 310 CMR 30.104(3)(d). 1. The exemption established in 310 CMR 30.104(3)(d) is only applicable when: a. The generator or sample collector is accumulating or storing a sample prior to transportation to a research facility; or b. The generator or sample collector is collecting and preparing a sample for transportation; or c. The generator or sample collector is transporting, or causing to have transported, a sample to a research facility for the purpose of conducting a research study. d. The sample is being transported back to the generator or sample collector after completion of the research study and pursuant to a contractual agreement with the research facility. 2. Any person who generates or collects samples, in excess of treatability study limits as set forth in 310 CMR 30.104(3)(b), for the purpose of conducting a research study shall comply with the following requirements: a. For each treatment or disposal process evaluated for each generated waste stream, the generator or sample collector shall accumulate for a research study no more than the quantity of such waste stream that is necessary for the purpose of such study and specified in a contractual agreement with the destination research facility; and b. The generator or sample collector shall accumulate at any one time for all research studies no more than the total quantities of various waste streams that are determined to be necessary for the purpose of such studies and specified in one or more contractual agreements with the destination research facility; and c. The generator or sample collector shall package the sample to ensure that the sample will not leak, spill, or vaporize from its packaging during shipment; and d. The generator or sample collector shall cause the sample to be shipped only to a research facility which has a valid license issued by the Department pursuant to 310 CMR 30.864; and e. The generator or sample collector who transports or offers for transport to a research facility any sample shall: (i) Comply with all applicable manifest requirements in 310 CMR 30.310 through 30.316; (ii) Not itself transport the sample unless that generator or sample collector has at that time a valid license issued by the Department pursuant to M.G.L. c. 21C to transport hazardous waste; and (iii) Offer the sample for transportation only to a person who has at that time both an EPA identification number and a valid license issued by the Department pursuant to M.G.L. c. 21C for the transport of that hazardous waste sample; and

2/27/04 310 CMR - 949 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

30.104: continued

f. The generator or sample collector shall maintain the following records for a period of at least three years after completion of a research study, or for the duration of any unresolved enforcement action, whichever period is longer: (i) Copies of all manifests; (ii) A copy of the contractual agreement with the research facility conducting the research study; (iii) Documentation showing: (A) The amount of waste transported pursuant to 310 CMR 30.104(3)(d); (B) The name, address, and EPA identification number of the research facility that received the waste; and (C) The date of the shipment(s) to the research facility. g. A Large Quantity Generator shall report the information required in 310 CMR 30.104(3)(d)2.f. in its Biennial Report, as described in 310 CMR 30.332. 3. Any person who intends to or does generate or collect samples, below treatability study limits set forth in 310 CMR 30.104(3)(b), for the purpose of conducting a research study shall comply with all applicable requirements set forth in 310 CMR 30.104(3)(b). (e) Gasoline and water mixtures that are hazardous for the ignitability characteristic (D001) and/or the toxicity characteristic for benzene (D018) provided that the generator of the gasoline and water mixtures complies with the requirements of 310 CMR 30.104(3)(e). Such generators shall ensure that: 1. the material has never been used and is being reclaimed for gasoline content; 2. the material, if accumulated on-site prior to shipping, is accumulated in containers that are sealed, structurally sound and labeled as a “Gasoline/Water Mixture For Reclamation – Ignitable – Toxic – Benzene”; 3. the material is transported by a hazardous waste transporter using either a manifest or bill of lading, or by a common carrier using a bill of lading in compliance with 310 CMR 30.223(4)(b), as applicable, and in such a manner so as to not cause a leak or spill during transit; 4. records from the recycling facility demonstrating that each shipment of material to the recycling facility was received and recycled in compliance with applicable state and federal laws and regulations, are kept by the generator for three years from the date of recycling; and 5. the recycling facility signs the bill of lading or manifest acknowledging receipt of the material and returns a copy after signature to the generator. (f) Dredged material when temporarily stored at an intermediate facility pursuant to 314 CMR 9.07(4), or when placed in confined disposal pursuant to 314 CMR 9.07(8), provided it is managed in accordance with the following: 1. the material is managed in accordance with requirements established in a Clean Water Act (33 U.S.C. 1344) § 401 certification, specifically covering the intermediate facility or the confined disposal; and 2. the material is managed in accordance with requirements included in a permit issued under § 404 of the Clean Water Act, specifically covering the intermediate facility or the confined disposal; 3. this exemption shall not apply: a. to any facility or activity that is not subject to regulation under § 404 of the Clean Water Act; b. to any facility or activity for which 401 certification requirements have been waived by the Department; c. to any facility or activity regarding which all 401 certification requirements established by the Department have not been included in a 404 permit; or d. if the Department determines that compliance with some or all of the provisions of 310 CMR 30.000 is required. (g) Low-level mixed waste and the transportation and disposal of Naturally Occurring and/or Accelerator-produced Radioactive Material (NARM) that contain hazardous waste managed in compliance with 40 CFR Part 266, Subpart N (as in effect July 1, 2005), hereby incorporated by reference, subject to the following exceptions, additions and modifications:

5/1/09 310 CMR - 950 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

30.104: continued

1. When the low-level mixed waste referenced in 310 CMR 30.104(3)(g) has met the requirements for reaching background radiation levels in its Nuclear Regulatory Commission background license for decay-in-storage and can be disposed of as a non- radioactive waste, then the conditional exemption for storage no longer applies and such waste is subject to hazardous waste regulation pursuant to the applicable provisions of 310 CMR 30.000. 2. Within three days of becoming subject to hazardous waste regulation, pursuant to 310 CMR 30.104(3)(g)1., such waste shall be transferred to the generator’s hazardous waste accumulation area, and labeled with the date on which the waste was transferred to the accumulation area as the container accumulation start date.

30.105: Exemption for PCB Wastes Regulated Pursuant to Toxic Substances Control Act

(1) PCB waste, as defined in 40 CFR 761.3, consisting of dielectric fluid or electrical equipment containing dielectric fluid that would be subject to hazardous waste regulation due to the presence of PCBs are exempt from 310 CMR 30.000 provided: (a) the waste is regulated pursuant to 40 CFR 761, as in effect on July 1, 2002; (b) the waste does not meet the description of any listing (see, e.g., 310 CMR 30.131 describing MA01 and MA02); and (c) the waste is hazardous solely because it exhibits the Toxicity Characteristic (D018 - D043 only).

(2) PCB waste, as defined in 40 CFR 761.3, consisting of dielectric fluid or electrical equipment containing dielectric fluid that is subject to hazardous waste regulation due to the presence of PCBs need only be managed and identified using the appropriate Massachusetts hazardous waste number(s) provided: (a) the waste is regulated pursuant to 40 CFR 761, as in effect on July 1, 2002; (b) the waste does not meet the description of an F, K, U or P listed waste; and (c) the only applicable EPA Hazardous waste codes are D018 - D043.

5/1/09 310 CMR - 950.1 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

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5/1/09 310 CMR - 950.2 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

30.214: continued

(2) Except that materials with precious metal are Class B. (3) Except that lead-acid batteries sent for reclamation are Class B (4) Except that certain scrap metal is excluded pursuant to 310 CMR 30.202(5).

30.215: Distinguishing Waste Oil that is Used Oil Fuel from Waste Oil that is not Used Oil Fuel

(1) Any batch or lot of waste oil that is not used oil fuel is either hazardous waste fuel, used waste oil, or unused waste oil. Unless and until the Department is persuaded otherwise pursuant to the application and permitting requirements set forth in 310 CMR 30.250, a batch or lot of waste oil shall be presumed to be mixed with hazardous waste, and therefore not used oil fuel, if: (a) The waste oil is "transformer oil", i.e. oil that has been used in a transformer, capacitor, switch, or other electrical device for insulation or heat transfer purposes. Transformer oil shall be presumed to be mixed with PCBs in concentrations equal to or exceeding 50 parts per million unless and until the Department is persuaded otherwise pursuant to the application and permitting requirements set forth in 310 CMR 30.250. (b) The waste oil contains 1,000 or more parts per million of total halogens, in which case the waste oil shall be presumed to be a mixture of oil and halogenated hazardous wastes unless and until the Department is persuaded, pursuant to the application and permitting requirements set forth in 310 CMR 30.250, that the waste oil contains no halogenated constituent listed in 310 CMR 30.160 in a significant amount.

(2) In any event, the Department may deem any particular batch or lot of used oil fuel to be hazardous waste, and make that material subject to all applicable provisions of 310 CMR 30.000 other than 310 CMR 30.200, if the Department determines that such action is necessary or appropriate to protect public health, safety, or welfare, or the environment.

30.216: Distinguishing Specification Used Oil Fuel from Off-specification Used Oil Fuel

Any waste oil, and any mixture of waste oil with any other material, that is used oil fuel is either specification used oil fuel or off-specification used oil fuel. If used oil fuel does not exceed the allowable level of any constituent or property as set forth in 310 CMR 30.216: Table 1, such used oil fuel is specification used oil fuel. If used oil fuel does exceed the allowable level of any constituent or property as set forth in 310 CMR 30.216: Table 1, such used oil fuel is off- specification used oil fuel. Table 1.

Constituent or Property Allowable Level

Arsenic 5 ppm maximum Cadmium 2 ppm maximum Chromium 10 ppm maximum Lead 100 ppm maximum Flash point 100ºF minimum Total Halogens 4,000 ppm maximum *

[* see also 310 CMR 30.215(1)(b)]

30.220: Requirements Governing Class A Regulated Recyclable Materials

310 CMR 30.220 through 30.229, cited collectively as 310 CMR 30.220, sets forth: standards for handling Class A regulated recyclable materials; the procedures for obtaining a permit to recycle Class A regulated recyclable materials and the conditions for such permits; as well as the performance standards for certain categories of Class A materials for which a permit is not required.

30.221: General Provisions

(1) No person shall recycle Class A regulated recyclable material except in compliance with 310 CMR 30.200.

2/27/04 310 CMR - 1001 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

30.221: continued

(2) 310 CMR 30.221: Table 1 identifies the permit and approval categories for Class A Regulated Recyclable Materials.

(3) Recycling of Class A regulated recyclable material shall be done in compliance with the applicable permitting requirements of 310 CMR 30.220 or, for those activities specifically excluded from permitting in 310 CMR 30.221(3)(a), the performance standards described at 310 CMR 30.222. (a) Class A recycling activities for which a recycling permit need not be obtained are as follows: 1. The recycling of Class A regulated recyclable materials at the site of generation; 2. The shipment off the site of generation for recycling within any calendar month of 100 kg or less of Class A regulated recyclable materials by a Very Small Quantity Generator of regulated recyclable material, excluding acutely hazardous regulated recyclable material, provided that material is managed in compliance with the requirements described at 310 CMR 30.222(4)(b); 3. The onsite recovery of silver from wastewater at the site of generation, provided such recycling is done in compliance with the Environmental Results Program regulations, 310 CMR 71.00; and 4. The shipment off the site of generation of specification used oil fuel (MA97) with a transporter/marketer authorized pursuant to 310 CMR 30.255.

(4) Class A regulated recyclable materials recycled in compliance with 310 CMR 30.200 are not included or counted in the determination of rate of hazardous waste generation and accumulation and corresponding hazardous waste generator status, however, such materials must be included and counted to determine a generators corresponding Class A RRM status.

Table 1. Approval Categories for Class A Recyclers

Citation Description Generator Generator sends Receiver recycles off-site for of regulated onsite recycling more recyclable than 100 kg/mo materials Class A regulated recyclable materials* 310 CMR 30.212 (1) (a) Used or reused as an ingredient PS N N in a product without reclamation (1) (b) Substitute for commercial PS N N product being reclaimed (1) (c) Substitute for feedstock in PS N/A N/A original process without reclamation (2) Industrial Ethyl Alcohol PS N N being reclaimed (3) Scrap metal that would be PS N P hazardous if disposed of. (4) Used oil fuel burned at the PS N/A N/A site of generation for energy recovery in a used oil fuel fired space heater in compliance with 310 CMR 30.222 and 310 CMR 30.256. (5) Characteristic sludge PS N P being reclaimed (6) Characteristic by-product PS N P being reclaimed (7) Unused commercial chemical product being reclaimed PS N P (8) Waste oil recycled by other PS N P than burning for energy recovery

5/1/09 310 CMR - 1002 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

30.221: continued

Table 1. Approval Categories for Class A Recyclers (continued)

Citation Description Generator Generator sends Receiver recycles off-site for of regulated onsite recycling more recyclable than 100 kg/mo materials Class A regulated recyclable materials*

(9) Specification used oil fuel PS N N burned for energy recovery in a fossil fuel utilization facility other than a used oil fuel fired space heater and otherwise handled in compliance with 310 CMR 30.250 (10) Material recycled in a completely PS N/A N/A enclosed recycling system at site of generation, except such material recycled at a photo processor or a printer subject to 310 CMR 71.00 (e.g., stand-alone solvent stills, stand- alone silver recovery units).

N/A -- Not Applicable N -- 21 Day Presumptive Approval P -- Written Permit PS – Performance Standard

* VSQG shipments of 100 kg or less of Class A regulated recyclable materials, sent off-site for recycling within any calendar month, are specifically excluded from permitting. See 310 CMR 30.221(3)(a)(2).

30.222: Generator Standards

(1) Except as otherwise specifically provided in 310 CMR 30.222 and 310 CMR 30.353 a generator of Class A regulated recyclable material may sell or otherwise transfer such material, or contract to sell or otherwise transfer such material, or cause or allow such material to be transported off the site of generation, directly to either (a) a facility described in 310 CMR 30.305, or (b) a facility that has a Class A permit pursuant to 310 CMR 30.220, or (c) a facility outside of Massachusetts that is properly authorized under that state's applicable authority and is identified in the generator's Class A recycling permit to receive Class A regulated recyclable material from that generator pursuant to 310 CMR 30.224(1)(c).

(2) Except as otherwise specifically provided in 310 CMR 30.222 and 310 CMR 30.255, a generator of Class A regulated recyclable material may sell or otherwise transfer custody or possession of such material only to a transporter in compliance with 310 CMR 30.223.

(3) A generator of material that the generator claims is specification used oil fuel shall not sell or otherwise transfer, or offer to sell or otherwise transfer, such material to any other person unless the generator: (a) has ascertained, by appropriate analytical methods contained in EPA's Test Methods for Evaluating Solid Waste, SW-846, as incorporated by reference at 310 CMR 30.012, or by an equivalent method accepted by EPA, that it meets the conditions provided in 310 CMR 30.215 and the parameters provided in 310 CMR 30.216 for specification used oil fuel, and

5/1/09 310 CMR - 1003 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

30.222: continued

(b) has kept documentation showing compliance with the requirements in 310 CMR 30.222(3)(a), and makes and keeps records for each batch or quantity of such material that is sold or otherwise transferred, stating for each such batch or quantity the name and address of the facility to which the material is sold or otherwise transferred, the quantity of such material sold or otherwise transferred, the date when the material was collected, and a cross- reference to the documentation described in 310 CMR 30.222(3)(b).

(4) Very Small Quantity Generators of Class A regulated recyclable material excluded from Class A permit requirements at 310 CMR 30.221(3)(a)1. and 2. shall not accumulate at any one time 1000 kilograms or more of regulated recyclable material. (a) Very Small Quantity Generators of Class A regulated recyclable material that recycle at the site of generation in accordance with 310 CMR 30.221(3)(a)1. shall also manage such regulated recyclable material in a manner which neither could nor does endanger public health, safety, or welfare or the environment, and in compliance with 310 CMR 30.222(5)(c), 30.222(5)(d)2., 30.222(5)(d)7., 30.222(5)(e), 30.222(5)(i) and the applicable performance standards at 310 CMR 30.222(6). (b) For shipments off the site of generation of 100 kg or less of Class A regulated recyclable materials by Very Small Quantity Generators, excluded at 310 CMR 30.221(3)(a)2., the generator shall: 1. keep, for a period of at least three years from the date of recycling: a. a record from the recycling facility, certified pursuant to 310 CMR 30.009, that the materials were recycled in compliance with applicable State and Federal laws and regulations; and b. a record of each shipment sent off-site that satisfies the requirements described at 310 CMR 30.223(4)(b). 2. accumulate the material prior to shipping in containers that are sealed, structurally sound, and labeled as a “Regulated Recyclable Material” and with the material identified with words and the type of hazard(s) associated with the material(s) indicated in words (e.g., ignitable, toxic, dangerous when wet). 3. comply with 310 CMR 30.222(1)a. and b., except that shipments of regulated recyclable material being sent off the site of generation to an out-of-state facility need not be managed in compliance with 310 CMR 30.305(2), but shall instead be sent directly to a facility that is authorized by that state to recycle that material.

(5) General Performance Standards. A Small Quantity Generator or Large Quantity Generator of Class A regulated recyclable material exempt from Class A permit requirements at 310 CMR 30.221(3)(a)1. shall: (a) Notify and obtain a generator identification number in compliance with 310 CMR 30.061, unless the generator has previously notified and obtained a generator identification number; (b) Submit a one-time notification to the Department on a form prescribed by the Department prior to or upon commencing a Class A recycling operation, unless the generator has a valid Class A recycling permit for that recycling operation as of February 27, 2004; (c) Manage regulated recyclable materials that are not recycled or otherwise handled in compliance with 310 CMR 30.220 as hazardous wastes which shall be accumulated, collected, transported, stored, treated, and disposed of in compliance with all the requirements of 310 CMR 30.000 other than 310 CMR 30.200; (d) Comply with the following conditions cited in 310 CMR 30.205: 1. Duty to provide information - 310 CMR 30.205(5); 2. Record-keeping - 310 CMR 30.205(7), except that 310 CMR 30.205(7)(b) does not apply to used oil fuel fired space heaters; 3. Preventing and reporting releases to the environment - 310 CMR 30.205(9); 4. Speculative accumulation requirements - 310 CMR 30.205(14); 5. Personnel training - 310 CMR 30.205(15); 6. Emergency prevention - 310 CMR 30.205(16); and 7. Storage and accumulation only in tanks and containers - 310 CMR 30.205(19), except that generators recycling silver-bearing Class A regulated recyclable material in stand-alone silver recovery units at the site of generation are subject to the tank and container requirements at 310 CMR 71.00. (e) Use, operate and maintain recycling units that are appropriately designed for the material being recycled in accordance with manufacturer’s recommended operating and maintenance procedures;

5/1/09 310 CMR - 1004 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

30.223: continued

(3) A transporter of Class A regulated recyclable material may cause or allow such material to be transported off the site of generation directly to either (a) a facility described in 310 CMR 30.222(1), or (b) a transporter described in 310 CMR 30.223(1).

(4) Class A regulated recyclable material transported by a transporter described in 310 CMR 30.223(1) or 310 CMR 30.223(2)(a) shall be accompanied by either: (a) a manifest filled out, signed, and distributed in compliance with all provisions of 310 CMR 30.000 governing the filling out, signing, and distribution of copies of manifests, or (b) a shipping paper which shall describe the transportation of the material, shall accompany the material at all times while it is being transported, shall be made available to the Department on request, and shall contain at least the following: 1. the transporter's name, address, EPA identification number, and hazardous waste transporter license number; 2. the date of collection; 3. the name and address of the generator from whom Class A regulated recyclable material was collected on that date; 4. the amount of Class A regulated recyclable material collected from the generator; 5. the location of the delivery of the Class A regulated recyclable material, including the facility's name, address, EPA identification number, and license or permit identification; 6. the signature of the generator from whom Class A regulated recyclable material was collected; 7. the signature of the transporter's employee making the collection; 8. the signature of the receiving facility's owner or operator, or his designee; and 9. for any specification used oil fuel being transported, the shipping aper shall identify the material as "specification used oil fuel".

(5) Class A regulated recyclable material transported by a transporter described in 310 CMR 30.223(2)(b) shall be accompanied by a shipping paper filled out and signed pursuant to 310 CMR 30.223(4)(b).

(6) A transporter of Class A regulated recyclable material described in 310 CMR 30.223(1) or 30.223(2) shall retain for at least three years from the date it accepts Class A regulated recyclable material from a generator, a copy of the shipping paper or manifest used to comply with 310 CMR 30.223(4). All recordkeeping shall be in compliance with 310 CMR 30.007.

30.224: Applications for Class A Permits

(1) Generators and recyclers of Class A regulated recyclable material, other than those exempt from permit requirements pursuant to 310 CMR 30.221(3)(a), shall determine their appropriate permit category according to310 CMR 30.221: Table 1 and submit a permit application for that category on a form prescribed by the Department. In addition to what is set forth 310 CMR 30.204, the application shall include: (a) for a generator intending to send materials off the site of generation, the names, addresses, and EPA identification numbers of the recycler(s) to whom the materials are to be sent. (b) for a recycler intending to receive materials from off the site of recycling, the names, addresses, and EPA identification numbers of the generator(s) located outside of Massachusetts from whom the materials are to be received. (c) for a generator intending to send materials outside of Massachusetts, a statement from those persons outside of Massachusetts who are referred to in the application, certified pursuant to 310 CMR 30.009, that: 1. the information contained in the application is correct and accurate, and 2. the activity they intend to engage in is in compliance with applicable State and Federal laws and regulations.

(2) For a generator intending to recycle specification used oil fuel by burning it in a fossil fuel utilization facility other than a used oil fuel fired space heater, documentation that the burning of specification used oil fuel in that facility has been approved as applicable by the Department pursuant to 310 CMR 7.00.

5/1/09 310 CMR - 1007 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

30.225: Conditions for Class A Recycling Permits

In addition to conditions imposed pursuant to 310 CMR 30.202(2), the conditions set forth in 310 CMR 30.205 and 30.206, and the provisions set forth in 310 CMR 30.221 and 310 CMR 30.222 and 30.250, the following conditions shall apply to each Class A recycling permit, regardless of whether or not such conditions are written into the permit.

(1) The permittee shall immediately notify the Department of any change in the characteristics, composition, or source of any Class A regulated recyclable material that would require that said material be managed differently, that the conditions of the permit be changed, or that the permit be suspended or revoked.

(2) If the permittee is a generator who is a "marketer" [that term is defined in 310 CMR 30.255(1)] of specification used oil fuel by selling or otherwise transferring such fuel, or offering to sell or otherwise transfer such fuel, to other persons who burn that fuel, or who intend or plan to burn that fuel, for energy recovery, the permittee shall determine that the used oil fuel is specification used oil fuel by causing samples of such fuel to be analyzed only by laboratories meeting standards of quality control and quality assurance acceptable to the Department.

(3) If the permittee is authorized to burn specification used oil fuel, the permittee shall not mix such used oil fuel with any off-specification used oil fuel, with any waste oil, with any hazardous waste fuel, or with unused fuel oil unless such mixing is incidental to the filling or emptying of a tank or container.

(4) If the permittee is authorized to burn specification used oil fuel, the permittee shall not receive from off the site of generation, and shall not contract to receive from off the site of generation, any off-specification used oil fuel, any waste oil, or any hazardous waste fuel. If the permittee receives or otherwise comes to possess any off-specification used oil fuel not generated at the site of burning, any waste oil not generated at the site of burning, or any hazardous waste fuel not generated at the site of burning, the permittee shall immediately so notify the Department and shall manage such material as hazardous waste in compliance with all applicable provisions of 310 CMR 30.000.

30.230: Requirements Governing Class B(1) Regulated Recyclable Materials

310 CMR 30.230 through 30.239, cited collectively as 310 CMR 30.230, set forth standards for the handling of Class B(1) regulated recyclable materials, describe procedures for obtaining a permit to recycle Class B(1) regulated recyclable materials, and set forth the basic and optional conditions that may be imposed in such permits.

30.231: General Provisions

(1) Except for those regulated recyclable materials described in 310 CMR 30.231(2), all regulated recyclable materials used in a manner constituting disposal (a) shall not be subject to any provisions of 310 CMR 30.200 other than 30.201, 30.211, and 30.231(1), and (b) shall be recycled and otherwise handled in full compliance with all applicable provisions of 310 CMR 30.000 other than 310 CMR 30.200.

(2) When used in a manner constituting disposal, regulated recyclable materials shall be subject to 310 CMR 30.230 if they: (a) are listed or otherwise described in 310 CMR 30.133 or 310 CMR 30.136, and (b) have never been used, and (c) are ordinarily used on the land.

(3) No person shall recycle any Class B(1) regulated recyclable material described in 310 CMR 30.231(2), or engage in any other activity involving Class B(1) regulated recyclable material described in 310 CMR 30.231(2) if a Class B(1) permit is required for that activity, unless either (a) that person has applied for and obtained a Class B(1) permit, said permit is in effect when the recycling or other activity is being done, and said permit authorizes the recycling or other activity being done, or

2/27/04 310 CMR - 1008 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

30.253: continued

(c) A generator is a large quantity generator of waste oil and/or used oil fuels if that generator is not a Small Quantity Generator of waste oil and/or used oil fuels pursuant to 310 CMR 30.253(5)(b) or a Very Small Quantity Generator of waste oil and/or used oil fuels pursuant to 310 CMR 30.253(5)(a).

(6) Generators of waste oil and/or used oil fuel shall comply with the following regulations, except that in implementing and enforcing said regulations with respect to used oil fuel, the term "used oil fuel" shall be used instead of the terms "waste" or "hazardous waste" wherever the latter two terms are used in said regulations, or in any other regulations referred to therein: (a) All large quantity generators of waste oil and/or used oil fuel shall comply with 310 CMR 30.322, 30.323, 30.340(6), 30.341(2), (3), (5), (6), (7) and (8) as well as 310 CMR 30.342, and 310 CMR 30.343(1)(d), (e), (g) and (i). All areas where waste oil and/or used oil fuel is accumulated or stored, except for satellite accumulation areas, shall have posted at all times a sign with the words "WASTE OIL" in capital letters at least one inch high. (b) All Small Quantity Generators of waste oil and/or used oil fuel shall comply with 310 CMR 30.351, including all regulations referred to therein, except that a Small Quantity Generator of waste oil and/or used oil fuel: 1. need not comply with the signage requirement of 310 CMR 30.341(4) referenced in 310 CMR 30.351(8)(a). Instead, all areas where waste oil and/or used oil fuel is accumulated or stored, except for satellite accumulation areas, shall have posted at all times a sign with the words "WASTE OIL" in capital letters at least one inch high. 2. need only comply with the following requirements of 310 CMR 30.343 referenced in 310 CMR 30.351(8)(c) regarding accumulation in tanks: a. 310 CMR 30.343(1)(d) regarding Containment; b. 310 CMR 30.343(1)(e) regarding General Operating Requirements; c. 310 CMR 30.343(1)(g) relating to Response to Leaks or Spills and Disposition of Leaking Tank Systems; and d. 310 CMR 30.343(1)(i) relating to Closure and Post-Closure Care. (c) All Very Small Quantity Generators of waste oil and/or used oil fuel shall comply with 310 CMR 30.353, including all other regulations referred to therein, except that a Very Small Quantity Generator of waste oil and/or used oil fuel need not comply with the signage requirement of 310 CMR 30.341(4) referenced in 310 CMR 30.353(6)(h). Instead, all areas where waste oil and/or used oil fuel is accumulated or stored, except for satellite accumulation areas, shall have posted at all times a sign with the words "WASTE OIL" in capital letters at least one inch high.

(7) Generators of waste oil and/or used oil fuel shall be subject to the following preparedness and emergency procedure requirements: (a) Large Quantity Generators of waste oil and/or used oil fuel only, as defined in 310 CMR 30.253(5), Large Quantity Generators of waste oil and/or used oil fuel who generate and accumulate all other regulated recyclable materials and all other hazardous wastes in quantities entitling them to the status of either a Small Quantity Generator pursuant to 310 CMR 30.351 or a Very Small Quantity Generator pursuant to 310 CMR 30.353, shall comply with the requirements set forth or referred to in 310 CMR 30.351(9). (b) All Small Quantity Generators of waste oil and/or used oil fuel, as defined in 310 CMR 30.253(5), shall comply with requirements set forth or referred to in 310 CMR 30.351(9). (c) All Very Small Quantity Generators of waste oil and/or used oil fuel, as defined in 310 CMR 30.253(5), shall comply with requirements set forth or referred to in 310 CMR 30.353(4).

(8) Persons who generate or accumulate waste oil and/or used oil fuel, and who generate or accumulate any other hazardous waste, shall comply with all applicable provisions of 310 CMR 30.200 with respect to the waste oil and/or used oil fuel, and shall comply with all applicable provisions of 310 CMR 30.000 with respect to all the other hazardous waste they generate.

5/1/09 310 CMR - 1017 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

30.253: continued

(9) Except for the generators described in 310 CMR 30.253(10), all generators of waste oil and/or off-specification used oil fuel (specification used oil fuel is subject to 310 CMR 30.222) shall cause such waste oil or used oil fuel, when it is collected and transported, to be accompanied by a hazardous waste manifest which shall be filled out, signed, and distributed, and copies of which shall be kept, in compliance with all provisions of 310 CMR 30.000 governing the filling out, signing, distribution, and keeping of copies of manifests. Generators subject to 310 CMR 30.253(9) shall notify the Department and obtain an identification number pursuant to 310 CMR 30.060 through 30.064.

(10) Persons who generate and accumulate waste oil or off-specification used oil fuel (specification used oil fuel is subject to 310 CMR 30.222) in quantities entitling them to the status of either a Small Quantity Generator pursuant to 310 CMR 30.351 or a Very Small Quantity Generator pursuant to 310 CMR 30.353, and who generate and accumulate all other regulated recyclable materials and all other hazardous wastes in quantities entitling them to the status of a Very Small Quantity Generator pursuant to 310 CMR 30.353 need not handle such waste oil or off-specification used oil in compliance with 310 CMR 30.253(9), and instead shall cause such waste oil or off-specification used oil fuel to be handled in compliance with the following requirements: (a) Generators subject to 310 CMR 30.253(10) shall register with the Department by notifying the Department in writing of their activity involving waste oil, off-specification used oil fuel, other regulated recyclable material, and other hazardous waste. Except as specifically provided elsewhere in 310 CMR 30.253(10), such registration shall be in compliance with requirements set forth or referred to in 310 CMR 30.353(5) (requirements governing Very Small Quantity Generators of hazardous waste). (b) Generators subject to 310 CMR 30.253(10) shall cause waste oil or off-specification used oil fuel, when it is collected and transported, to be accompanied by a hazardous waste manifest filled out, signed, and distributed in compliance with all provisions of 310 CMR 30.000 governing the filling out, signing, and distribution of copies of manifests.

30.254: Transport and Manifest Standards Governing Waste Oil and Used Oil Fuel

(1) A transporter of waste oil or of off-specification used oil fuel (specification used oil fuel is subject to 310 CMR 30.223) shall be licensed to transport hazardous waste pursuant to 310 CMR 30.000.

(2) A transporter of waste oil may cause or allow such material to be transported off the site of generation only to a person described in 310 CMR 30.404.

(3) A transporter of off-specification used oil fuel (specification used oil fuel is subject to 310 CMR 30.223) may cause or allow such material to be transported off the site of generation only to either (a) a person described in 310 CMR 30.404, or (b) a facility that has a Class B(3) permit pursuant to 310 CMR 30.268.

(4) When waste oil or off-specification used oil fuel (specification used oil fuel is subject to 310 CMR 30.223) generated by a generator described in 310 CMR 30.253(6) is collected and transported, such waste oil or used oil fuel shall be accompanied by a manifest filled out, signed, and distributed in compliance with all provisions of 310 CMR 30.000 governing the filling out, signing, and distribution of manifests.

(5) A transporter of waste oil or off-specification used oil fuel shall report monthly to the Department the source, amount, and destination of all waste oil and off-specification used oil fuel transported during the month. Each such monthly report shall be submitted to the Department no later than the last day of the following month. Such reports shall be on a machine readable file in a format prescribed by the Department. Such reports shall be subject to 310 CMR 30.006 and 30.007, certified pursuant to 310 CMR 30.009, and in compliance with 310 CMR 30.407.

5/1/09 310 CMR - 1018 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

30.255: continued

1. the facility must have an EPA identification number or a state-only Massachusetts identification number. 2. the facility must be a. licensed pursuant to 310 CMR 30.800, and possess a special license condition authorizing it to be a marketer, or b. a facility for which the Department has issued a Class B(3) recycling permit pursuant to 310 CMR 30.264, or c. a person with a Class A regulated recyclable materials permit issued pursuant to 310 CMR 30.220 who is authorized to burn used oil fuel. d. or an authorized marketer. (b) For each facility located outside of Massachusetts, the requirements are: 1. the facility must have the legal authority to accept the used oil fuel pursuant to applicable statutes and regulations in effect where the facility is located. 2. the transport of the used oil fuel must be in compliance with applicable statutes and regulations in effect in all places where such transport is to occur.

30.256: Standards for Persons Who Burn Used Oil Fuels

(1) Persons who receive used oil fuel and burn it for energy recovery are subject to 310 CMR 30.256, other requirements referred to in 310 CMR 30.256, and the conditions of any required license or permit.

(2) Persons who burn specification used oil fuel shall either: (a) be licensed pursuant to 310 CMR 30.800 and in compliance with 310 CMR 30.500, 30.600, 30.700, and 30.900, or (b) have a Class A recycling permit issued pursuant to and in compliance with 310 CMR 30.220, or, (c) comply with performance standards established at 310 CMR 30.222.

(3) Specification used oil fuel may be burned only in: (a) an industrial or utility boiler or industrial furnace which is specifically approved by the Department for such burning pursuant to 310 CMR 7.00; or (b) a used oil fuel fired space heater, provided that the space heater is operated in compliance with 310 CMR 30.222.

(4) Off-specification used oil fuel may be burned only in: (a) an industrial or utility boiler or industrial furnace which is specifically approved by the Department for such burning pursuant to 310 CMR 7.00; or (b) a used oil fuel fired space heater, provided that the space heater is operated in compliance with 310 CMR 30.222.

(5) Generators who intend to or do burn off-specification used oil fuel that is generated at the site of burning, and that is burned or intended to be burned in a fossil fuel utilization facility, shall burn such used oil fuel only at a facility that either (a) is licensed pursuant to 310 CMR 30.800 and in compliance with 310 CMR 30.500, 30.600, 30.700, and 30.900, or (b) has a Class B(3) recycling permit issued pursuant to 310 CMR 30.265 and 30.266, and is in compliance with 310 CMR 30.250.

(6) Persons who burn, or who receive and intend to burn, off-specification used oil fuel not generated at the site of burning, shall do so only at a facility that either (a) is licensed pursuant to 310 CMR 30.800 and in compliance with 310 CMR 30.500, 30.600, 30.700, and 30.900, or (b) has a Class B(3) recycling permit issued pursuant to 310 CMR 30.267 and 30.268, and is in compliance with 310 CMR 30.250.

(7) Before a person burns, or receives with intent to burn, off-specification used oil fuel received from a "marketer", said person shall receive from said "marketer" a written notice saying that the "marketer" has notified the EPA and the Department of his used oil fuel activity.

7/16/04 (Effective 2/27/04) - corrected 310 CMR - 1021 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

30.256: continued

(8) No person who intends to or does burn off-specification used oil fuel shall accept any such fuel from a "marketer" unless said person has previously given to said "marketer" a written certification that said person: (a) has notified the EPA and the Department of his used oil fuel activity, and (b) will burn off-specification used oil fuel only in an industrial or utility boiler or industrial furnace, and (c) has a valid license or recycling permit appropriate to the activity for which certification is being given. The certification shall specify the type of license or recycling permit the person has.

(9) No person shall burn any batch or lot of specification used oil fuel unless said person (a) has ascertained, by some means acceptable to the Department, e.g. by obtaining either an analysis of the oil done by a procedure acceptable to the Department or a certification from a "marketer", that the oil in that batch or lot meets the specifications set forth in Table 310 CMR 30.216, and (b) has obtained and kept documentation showing compliance with the requirements in 310 CMR 30.256(9)(a).

(10) No person who burns used oil fuel shall mix used oil fuel with any other material unless such mixing is done for the purpose of making fuel which the permittee is lawfully burning pursuant to 310 CMR 7.00 and 310 CMR 30.000.

30.260: Activities for Which Class B(3) Recycling Permits are Required

Before engaging in the following activities, the following persons shall apply for, obtain, and have in effect either a hazardous waste license issued pursuant to 310 CMR 30.800 or a Class B(3) recycling permit:

(1) A generator who intends to be, or who is, a "marketer" of off-specification used oil fuel by selling or otherwise transferring such fuel, or offering to sell or otherwise transfer such fuel, to other persons who burn that fuel, or who intend or plan to burn that fuel, for energy recovery. Such a generator shall comply with 310 CMR 30.261 and 310 CMR 30.262 in applying for a Class B(3) recycling permit for this activity.

(2) A "marketer", other than a transporter/marketer, who receives only specification used oil fuel from off the site of generation thereof, and who receives no other used oil fuel or waste oil or other hazardous wastes, and who intends to or does sell or otherwise transfer such fuel, or offer to sell or otherwise transfer such fuel, to any person authorized to market used oil fuel, or to other persons who burn that fuel, or who intend or plan to burn that fuel, for energy recovery in a fossil fuel utilization facility and have all required legal authority to burn such fuel in said fossil fuel utilization facility. Such a "marketer" shall comply with 310 CMR 30.263 and 310 CMR 30.264 in applying for and obtaining a Class B(3) recycling permit for this activity.

(3) A generator who intends to or does burn off-specification used oil fuel that is generated at the site of burning, and that is burned or intended to be burned in a fossil fuel utilization facility. Such a generator shall comply with 310 CMR 30.265 and 310 CMR 30.266 in applying for and obtaining a Class B(3) recycling permit for this activity.

(4) A person who burns, or who receives and intends to burn, off-specification used oil fuel not generated at the site of burning, and blended at the site of burning only in compliance with 310 CMR 30.251(3). Such a person shall comply with 310 CMR 30.267 and 310 CMR 30.268 in applying for and obtaining a Class B(3) recycling permit for this activity.

30.261: Applications for Class B(3) Permits for Generators to Market Off-specification Used Oil Fuel

Any generator wishing to be a "marketer" of off-specification used oil fuel by selling or otherwise transferring such fuel, or offering to sell or otherwise transfer such fuel, in compliance with a Class B(3) permit, to other persons who burn that fuel, or who intend or plan to burn that fuel, for energy recovery shall apply to the Department for a Class B(3) permit to do so. The application shall be on a form acceptable to the Department. In addition to what is set forth in 310 CMR 30.204, the application shall include:

5/1/09 310 CMR - 1022 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

30.261: continued

(1) The name, address, and EPA identification number of each person to whom the used oil fuel is to be sold or otherwise transferred, or offered for sale or other transfer. For each such person, the application shall include a reference to the approval that person has to burn the used oil fuel, or to be a "marketer" of the used oil fuel.

(2) A copy of each certification provided to the generator pursuant to 310 CMR 30.255(8) by each person described in 310 CMR 30.261(1).

30.262: Class B(3) Permits for Generators to Market Off-specification Used Oil Fuel

Conditions imposed pursuant to 310 CMR 30.202(2), the general conditions set forth in 310 CMR 30.205 and 310 CMR 30.206, and the standards set forth or referred to in 310 CMR 30.253, 30.254, and 30.255 shall apply to each Class B(3) permit for generators to market off- specification used oil fuel, regardless of whether or not such conditions are written into the permit. Permittees shall comply with such conditions whether or not they are written into the permit. Failure to comply shall be grounds for an enforcement action, including, without limitation, permit suspension or revocation.

30.263: Applications for Class B(3) Permits to Market Specification Used Oil Fuel

Any "marketer" wishing to receive specification used oil fuel from off the site of generation thereof, and then sell or otherwise transfer such fuel, or offer to sell or otherwise transfer such fuel, in compliance with a Class B(3) permit, to any person authorized to market used oil fuel, or to other persons who burn that fuel, or who intend or plan to burn that fuel, for energy recovery in a fossil fuel utilization facility and who have all required legal authority to burn such fuel in said fossil fuel utilization facility, shall apply to the Department for a Class B(3) permit to do so. The application shall be on a form acceptable to the Department. In addition to what is set forth in 310 CMR 30.204, the application shall include:

(1) The name, address, and EPA identification number of each generator and each "marketer" from whom the specification used oil fuel is to be obtained. For each "marketer", the application shall include a reference to the recycling permit issued to that "marketer". If a generator is also a "marketer", the application shall so state and shall include a reference to the recycling permit issued to that "marketer".

(2) The name, address, and EPA identification number of each person to whom the specification used oil fuel is to be sold or otherwise transferred, or offered for sale or other transfer. For each such person, the application shall include a reference to the approval that person has to market or burn the specification used oil fuel.

(3) A statement of how the used oil fuel will be determined to be specification used oil fuel. If the applicant intends to use laboratory analysis to determine that used oil fuel is specification used oil fuel, the application shall include a statement naming each laboratory at which samples of the used oil fuel will be analyzed, whether and if so by whom each such laboratory is certified, and the quality assurance procedures to be used. If the applicant intends to rely on the representation of the generator that the material in question is specification used oil fuel, the application shall include a copy of the documentation obtained and kept by the generator pursuant to 310 CMR 30.222(3)(b).

30.264: Class B(3) Permits to Market Specification Used Oil Fuel

In addition to conditions imposed pursuant to 310 CMR 30.202(2), the general conditions set forth in 310 CMR 30.205 and 310 CMR 30.206, and the standards set forth or referred to in 310 CMR 30.253, 30.254, and 30.255, the following conditions shall apply to each Class B(3) permit to market specification used oil fuel, regardless of whether or not such conditions are written into the permit. Permittees shall comply with such conditions whether or not they are written into the permit. Failure to comply shall be grounds for an enforcement action, including, without limitation, permit suspension or revocation.

(1) The permittee shall not receive, and shall not contract to receive, any off-specification used oil fuel, any waste oil, or any hazardous waste fuel.

5/1/09 310 CMR - 1023 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

30.264: continued

(2) If the permittee receives or otherwise comes to possess any off-specification used oil fuel, any waste oil, or any hazardous waste fuel, the permittee shall immediately so notify the Department and shall manage such material as hazardous waste in compliance with all applicable provisions of 310 CMR 30.000.

(3) The permittee shall not sell or otherwise transfer, and shall not contract to sell or otherwise transfer, any specification used oil fuel to any person other than a person authorized to market used oil fuel, or to other persons who intend to burn such fuel for energy recovery in a fossil fuel utilization facility, and who has all required legal authority to burn such fuel in said fossil fuel utilization facility. If the fossil fuel utilization facility is located in Massachusetts, the approval of the Department is required pursuant to 310 CMR 7.00.

(4) If the permittee is required to use laboratory analysis to determine that used oil fuel is specification used oil fuel, the permittee shall determine that the used oil fuel is specification used oil fuel by causing samples of such fuel to be analyzed only by laboratories certified by the Department or by laboratories meeting standards of quality control and quality assurance acceptable to the Department.

30.265: Applications for Class B(3) Permits to Burn Off-specification Used Oil Fuel Generated at the Site of Burning

Any person who generates off-specification used oil fuel, and who wishes to burn such material at the site of generation for energy recovery in any device other than a used oil fired space heater, all in compliance with a Class B(3) permit, shall apply to the Department for a Class B(3) permit to do so. The application shall be on a form acceptable to the Department. In addition to what is set forth in 310 CMR 30.204, the application shall include:

(1) Proof that the burning of the fuel in question in that facility has been approved by the Department pursuant to 310 CMR 7.00, and

(2) A complete description of the characteristics of the fuel, and the variation in those characteristics, if appropriate, and

(3) A complete description of the analysis procedure used to obtain the information described in 310 CMR 30.265(2), including, but not limited to, a statement naming each laboratory at which samples of the fuel were analyzed, whether and if so by whom each such laboratory is certified, and the quality assurance procedures to be used.

(4) A complete description of how the fuel will be managed so that it will not be speculatively accumulated.

(5) If the fuel is to be mixed with other fuels, a complete description of how such mixing will occur in compliance with 310 CMR 30.000.

30.266: Class B(3) Permits to Burn Off-specification Used Oil Fuel Generated at the Site of Burning

In addition to conditions imposed pursuant to 310 CMR 30.202(2), the general conditions set forth in 310 CMR 30.205 and 310 CMR 30.206, and the standards set forth or referred to in 310 CMR 30.253, 30.254, and 30.256, the following conditions shall apply to each Class B(3) permit to burn used oil fuel at the site of generation, regardless of whether or not such conditions are written into the permit. Permittees shall comply with such conditions whether or not they are written into the permit. Failure to comply shall be grounds for an enforcement action, including, without limitation, permit suspension or revocation.

(1) The permittee shall not burn any waste oil or other hazardous waste, regardless of where it is generated. Except for used oil fuel approved in the permit by the Department, the permittee shall not burn any used oil fuel or hazardous waste fuel, regardless of where it is generated.

2/27/04 310 CMR - 1024 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

30.341: continued

(iii) Name and quantity of material(s) involved; (iv) The extent of injuries, if any; (v) An assessment of actual or potential hazards to public health, safety, welfare and the environment, where applicable; and (vi) Estimated quantity and disposition of recovered materials that resulted from the incident. (f) 310 CMR 30.560(1), (2), and (3), and 310 CMR 30.561, governing ignitable, reactive, or incompatible wastes. (g) 310 CMR 30.701(2)(a) and (b), establishing a floodproofing standard; however, these requirements shall only be applicable if a portion of the site is within the boundary of land subject to flooding from the statistical 100-year frequency storm.

(2) Each tank or container in which hazardous waste is being accumulated shall be clearly marked and labelled throughout the period of accumulation. Marks and labels shall be clearly visible for inspection. For aboveground tanks and containers, marks and labels shall be made on the side of each tank or container. For underground tanks, marks and labels shall be made on the aboveground portion of the tanks or on a sign in close proximity to the tank. Each tank or container shall be marked and labeled with the following: (a) The words "Hazardous Waste"; (b) The hazardous waste(s) identified in words (e.g., acetone, toluene); (c) The type of hazard(s) associated with the waste(s) indicated in words (e.g., ignitable, toxic, dangerous when wet); (d) The date upon which each period of accumulation begins.

(3) All areas where wastes are accumulated shall be operated with appropriate security measures at all times to prevent the unknowing entry of persons, reduce as much as possible the unauthorized entry of persons, and prevent the entry of livestock into such areas.

(4) All areas where wastes are accumulated shall have posted at all times a sign with the words "HAZARDOUS WASTE" in capital letters at least one inch high.

(5) All areas where wastes are accumulated for purposes of complying with 310 CMR 30.000 generally shall be clearly marked (e.g., by a clearly visible line or piece of tape on the floor, or by a gate or fence, or by a sign at the boundary of a clearly distinguishable area) so that they are clearly distinguishable at all times from all specific points of generation where wastes are initially accumulated solely for purposes of 310 CMR 30.340(6), and from all areas at the site of generation where wastes are not accumulated.

(6) The period of accumulation begins: (a) for hazardous waste subject to 310 CMR 30.340(6), on the date which is three days after the applicable limit described in 310 CMR 30.340(6)(c) is reached (i.e., 55 gallons or one quart) or on the date when the container is moved into a centralized accumulation area, whichever comes first; (b) for hazardous waste received from a Very Small Quantity Generator in compliance with 310 CMR 30.353(8), or hazardous waste received as a rejected load or residue from a designated facility in compliance with 310 CMR 30.340(9), on the date the waste was received; and (c) for all other hazardous wastes, on the date the waste first becomes subject to 310 CMR 30.140(1). If the applicable date described in the preceding sentence is not marked and labeled, in compliance with 310 CMR 30.341(2), on any tank or container in which such hazardous waste is accumulated, then the period of accumulation of the hazardous waste in that tank or container shall be deemed to have commenced on the date on which that hazardous waste is originally generated or accumulated.

(7) Before the end of the applicable 90 day accumulation period, as described in 310 CMR 30.340(4), or the 180 day accumulation period, as described in 310 CMR 30.340(5), the waste shall be either: (a) Transported off-site to a facility, or person that meets the criteria of 310 CMR 30.305; or

5/1/09 310 CMR - 1047 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

30.341: continued

(b) Transferred to an on-site facility that meets the criteria of 310 CMR 30.305(1)(a)1., 2. or 3., 30.305(4) or 310 CMR 30.305(5).

(8) A Large Quantity Generator who accumulates hazardous waste at the site of generation in excess of the 90 day accumulation period, as described in 310 CMR 30.340(4), or the 180 day accumulation period, as described in 310 CMR 30.340(5), is an operator of a storage facility and shall comply with the requirements of 310 CMR 30.500 through 30.900, or if eligible, the interim status provisions of 310 CMR 30.099.

30.342: On-site Accumulation by Large Quantity Generators in Containers

(1) Throughout the period of accumulation, the generator shall comply with the standards for the use and management of containers set forth in the following regulations subject to the exceptions, additions or modifications, if any, as noted: (a) 310 CMR 30.683: Condition of Containers. (b) 310 CMR 30.684: Compatibility of Waste with Containers. (c) 310 CMR 30.685: Management of Containers. (d) 310 CMR 30.686: Inspections. 1. In addition to the requirements of 310 CMR 30.686, a generator shall remedy all malfunctions, deteriorations, operator errors, and discharges which any inspection reveals. 2. A generator shall record every inspection in an inspection log or summary. 3. A generator shall keep the records of each inspection at the site of generation for at least three years from the date of inspection or until final closure pursuant to 310 CMR 30.342(1)(g), whichever period is longer. These records shall be furnished to the Department upon request. At a minimum, these records shall include the date and time of the inspection, the name of the inspector, a notation of the observations made, and the date and nature of any repairs or other remedial actions. (e) 310 CMR 30.687: Containment; except that a generator shall comply with the following in lieu of 310 CMR 30.687(1) and (2): 1. Underlying all containers shall be a base which is free of cracks and gaps and is sufficiently impervious to contain leaks, spills, and accumulated precipitation until the collected material is detected and removed. 2. All outdoor containers shall be provided with a containment system that has the capacity to contain either 10% of the total possible contained volume of the containers, or 110% of the volume of the largest container, whichever is greater. 3. A generator shall remove all accumulated spillage and/or precipitation from the containment area within 24 hours or in as timely a manner as possible. (f) 310 CMR 30.688: Special Requirements for Ignitable, Reactive and Incompatible Hazardous Wastes, and Hazardous Wastes That Are Polyhalogenated Aromatic Hydrocarbons, and (g) 310 CMR 30.689: Closure.

30.343: On-site Accumulation by Large Quantity Generators in Tanks

(1) Throughout the period of accumulation, the generator shall comply with the standards for storage and treatment in tanks set forth in the following regulations subject to the exceptions, additions or modifications, if any, as noted: (a) 310 CMR 30.691: Applicability. (b) 310 CMR 30.692(1) through (4): Assessment of Existing Tank System's Integrity; (c) 310 CMR 30.693: Design and Installation of New Tank Systems or Components. 1. 310 CMR 30.693(1) (first sentence) is replaced with the following: Generators with new tank systems or components shall obtain a written assessment, reviewed and certified by an independent, qualified, registered professional engineer, in accordance with 310 CMR 30.009, attesting that the tank system has sufficient structural integrity and is acceptable for the storing and treating of hazardous waste. The generator shall keep such assessment on file at the site of generation until final closure pursuant to 310 CMR 30.343(1)(i). (d) 310 CMR 30.694: Containment and Detection of Releases. 1. Notwithstanding the requirements of 310 CMR 30.694(1) and 310 CMR 30.692(5), a generator shall provide secondary containment that meets the requirements of 310 CMR 30.694 for all new and existing tank systems except as provided in 310 CMR 30.694(6).

6/29/07 310 CMR - 1048 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

30.803: Requirements for all License Applications

All license applications shall include at least the following:

(1) The name, mailing address, and location of the site or activity.

(2) The operator's name, address, telephone number, ownership status and status as a public, private or other entity.

(3) The owner's name, address, telephone number, ownership status and status as a public, private, or other entity, if different from 310 CMR 30.803(2).

(4) A general description of the hazardous waste facility or activity, and a complete description of all proposed activities, including, but not limited to, processes, structures, and equipment.

(5) A listing and current status of all required permits or construction approvals for the proposed facility or activity.

(6) A detailed description of the applicant's qualifications and experience in managing and operating the proposed facility or activity.

(7) A statement of the applicant's financial condition, prepared by a certified public accountant, including profit and loss statements, balance sheets, and any other information which may be relevant for the three-year period prior to the date of application. For new business entities, the statement shall describe how the business is to be capitalized, the source(s) of loans and in what amount(s), and any other financial data deemed by the Department to be relevant. This provision does not apply to applications for transport licenses or to applications for facilities at the site of generation if the applicant is the generator of all the hazardous wastes which will be stored, treated, used, or disposed of at that facility.

(8) A description of training programs for all employees, including emergency procedures for preventing or containing spills or explosions of hazardous waste, emergency medical procedures, and basic knowledge of the wastes being handled. For transport license applications, this description shall demonstrate compliance with 310 CMR 30.409. For facility license applications, this description shall demonstrate compliance with 310 CMR 30.516.

(9) The names and addresses of all officers, directors, or partners of the person applying for a license, all of the applicant's key staff individuals, and all individuals and other persons holding, directly or indirectly, greater than 5% equity in, or more than 5% liability of, the applicant. This provision does not apply to applications for facilities at the site of generation if the applicant is the generator of all the hazardous waste which will be stored, treated, disposed of, or used at that facility.

(10) The names and addresses of all persons in the field of hazardous waste management, including transportation, doing business in the United States, in which the person applying for a license or in which any officer, director, or partner of said person, or in which any key staff individual of said person, holds an equity interest, directly or indirectly.

(11) A listing and explanation of all past and pending criminal convictions, criminal indictments, civil penalties, notices of violation, administrative orders, and license revocations and suspensions issued or obtained by any State or Federal authority citing a violation of any statute, regulation, or court order relating to hazardous waste management or transportation, and other related environmental or public health statutes or regulations, or any crime involving moral turpitude by the person applying for a license or by an officer, director, or partner, or any person named in 310 CMR 30.803(9) covering a five year period prior to the date of receipt of the application by the Department.

(12) A listing, by docket number and court, of all past and pending civil suits relating to the applicant's hazardous waste management or transportation operations or activities.

5/1/09 310 CMR - 1241 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 310 CMR: DEPARTMENT OF ENVIRONMENTAL PROTECTION

30.803: continued

(13) The certification required by M.G.L. c. 62C; § 49A(a).

(14) The following statement, which shall be separately signed by the person or persons listed in 310 CMR 30.807: While this application is pending, and while any license issued pursuant to this application remains in effect, [insert name of applicant] hereby authorizes personnel or authorized agents of the Department, or authorized EPA representatives, to, without a warrant, (a) enter [insert name of applicant]'s premises at all reasonable times for the purpose of investigating, sampling, or inspecting any records, condition, equipment, practice, or property relating to activities subject to M.G.L. c. 21C or RCRA; (b) enter [insert name of applicant]'s premises at any time for the purpose of protecting public health, safety, or welfare, or to prevent damage to the environment; (c) at all reasonable times have access to and copy all of [insert name of applicant]'s records that are relevant to this application or any license issued pursuant to this application.

30.804: Additional Requirements for Facility License Applications

Each facility license application shall state whether the facility is a new facility or an existing facility, whether the application is a first or revised application, and shall include at least the following additional information. The extent of such information, and of any additional information that may be requested by the Department, shall be determined by the Department on a case-by-case basis, depending upon the specifics of the proposed facility or activity and its location.

(1) The names and qualifications of the emergency coordinator and all persons who at any time may be placed in charge of facility operations.

(2) The names and qualifications of key management personnel at the hazardous waste facility.

(3) A U.S.G.S. topographic map showing the location of the site.

(4) Two sets of maps, of which: (a) One set shall show a distance of 1000 feet around the facility, shall be at a scale of 2.5 cm. equal to not more than 61.0 meters unless specified otherwise by 310 CMR 30.804(19)(k)3. or M.G.L. c. 21C, and shall include, but not be limited to: 1. topographic contours sufficient to clearly show the pattern of water flow in the vicinity of and from each operational unit in the facility; 2. map scale and date; 3. legal boundaries of the site; 4. geology of the site area; 5. groundwater locations; 6. surface water locations; 7. location of residences; 8. roads and access control; 9. wells; 10. 100-year flood elevations; and 11. seismic data, as may be required by the Department. (b) The other set shall show all aspects of the proposed facility and associated works, including landscaping. (c) The Department may require that a hydrogeologic study be submitted to the Department.

(5) A description of physical and chemical analyses which the applicant intends to use in treating, storing, using, or disposing of hazardous waste in compliance with 310 CMR 30.600.

4/1/94 310 CMR - 1242 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The 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 # 120

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 314 CMR 19.00

CHAPTER TITLE: Oil Spill Prevention and Response Act

AGENCY: Division of Water Pollution Control

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. This regulation specifies provisions for: the dispatch of state pilots upon request to provide navigational assistance to tank vessels operating in and transiting Buzzards Bay; and notification by vessels 24 hours prior to transit. This regulation was originally filed for emergency adoption effective February 12, 2009. The final regulation removes provisions related to rescue tugs.

REGULATORY AUTHORITY: St. 2008, c. 268, including M.G.L. c. 21M, §§ 8 and 14

AGENCY CONTACT: Elizabeth Callahan PHONE: 617-348-4056

ADDRESS: MassDEP, One Winter Street, Boston, MA 02108

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

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

PRIOR NOTIFICATION AND/OR APPROVAL - If prior notification to and/or approval of the Governor, Legislature or others was required, list each notification, and/or approval and date, including notice to the Local Government Advisory Commission. Notice given 2/23/09 to EOEEA, DOR, MA Mun. Assoc., Loc. Govt. Advisory Comm., Chairs of House & Senate Ways & Means, Environment, Natural Resources & Agriculture, & Telecommun., Util.& Energy Committees, MA Hist. Comm., Dept. of Pub. Utilities, Dept.of Housing and Comm. Development.

Date of public hearing or comment period: Public hearings held 3/30 and 3/31/09; public comment period closed 4/10/09.

This regulation does not impact small business.

CODE OF MASSACHUSETTS REGULATIONS INDEX - List key subjects that are relevant to this regulation: Buzzards Bay, state pilot

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: Apr 17 2009

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1129 DATE: 05/01/2009

EFFECTIVE DATE: 05/01/2009

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: 3, 4 3, 4 281 - 284 281 - 284.2

04/17/2009 kr

Table of Contents Page

314 CMR 8.00: SUPPLEMENTAL REQUIREMENTS FOR HAZARDOUS WASTE MANAGEMENT FACILITIES 227

Section 8.01: Purpose and Authority 227 Section 8.02: Definitions 227 Section 8.03: RCRA Facilities Subject to 314 CMR 8.00 230 Section 8.04: Additional Standards and Requirements for RCRA Facilities 231 Section 8.05: Standards for Wastewater Treatment Units Permitted under 314 CMR 3.00 232 Section 8.07: Standards for all other RCRA Facilities 232 Section 8.08: Supplemental Application and Permit Requirements 233 Section 8.09: Interim Status Standards for RCRA Facilities 233 Section 8.20: Supplemental Application Form HW 234

314 CMR 9.00: 401 WATER QUALITY CERTIFICATION FOR DISCHARGE OF DREDGED OR FILL MATERIAL, DREDGING, AND DREDGED MATERIAL DISPOSAL IN WATERS OF THE UNITED STATES WITHIN THE COMMONWEALTH 237

Section 9.01: Authority, Jurisdiction, and Purpose 237 Section 9.02: Definitions 238 Section 9.03: Activities Not Requiring an Application 241 Section 9.04: Activities Requiring an Application 242 Section 9.05: Submission of an Application 243 Section 9.06: Criteria for Evaluation of Applications for Discharge of Dredged or Fill Material 244 Section 9.07: Criteria for Evaluation of Applications for Dredging and Dredged Material Management 248.1 Section 9.08: Variance 250.10 Section 9.09: 401 Water Quality Certification 250.11 Section 9.10: Appeals 250.11 Section 9.11: Enforcement 250.12 Section 9.12: Authorization of Emergency Action 250.13 Section 9.13: Effective Date, Transition Rule, and Severability 250.13

(314 CMR 10.00 Through 11.00: RESERVED) 251

314 CMR 12.00: OPERATION AND MAINTENANCE AND PRETREATMENT STANDARDS FOR WASTEWATER TREATMENT WORKS AND INDIRECT DISCHARGERS 253

Section 12.01: Purpose 253 Section 12.02: Definitions 253 Section 12.03: Operation of Treatment Works 256 Section 12.04: Maintenance of Treatment Works 257 Section 12.05: Safety Program 258 Section 12.06: Sampling and Analysis 259 Section 12.07: Recordkeeping and Reporting 260 Section 12.08: Prohibitions and Standards for Discharge to POTWs 261 Section 12.09: POTW Pretreatment Programs 262 Section 12.10: Exemptions 263

(314 CMR 13.00 THROUGH 17.00: RESERVED) 265

12/28/07 314 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. 314 CMR: DIVISION OF WATER POLLUTION CONTROL

Table of Contents Page

314 CMR 18.00: INDUSTRIAL WASTEWATER HOLDING TANK AND CONTAINER CONSTRUCTION, OPERATION, AND RECORD KEEPING REQUIREMENTS 271

Section 18.01: Purpose 271 Section 18.02: Applicability 271 Section 18.03: Exemptions 271 Section 18.04: Definitions 272 Section 18.05: Partial and General Prohibitions for Industrial Wastewater Holding Tanks, Mobile Tanks and Containers 274 Section 18.06: Design and Operation Requirements for Containers 275 Section 18.07: Design and Operation Requirements for Above-ground Holding Tanks 275 Section 18.08: Design and Operation Requirements for In-ground Holding Tanks 276 Section 18.09: Record Keeping 277 Section 18.10: Certification 278 Section 18.11: Holding Tank Decommissioning Requirements 278

314 CMR 19.00: OIL SPILL PREVENTION AND RESPONSE 281

Section 19.01: Purpose and Authority 281 Section 19.02: Definitions 281 Section 19.03: Tugboat Escort Requirements 283 Section 19.04: 24-hour Notification 284 Section 19.05: Dispatching a State Pilot 284

314 CMR 20.00: RECLAIMED WATER PERMIT PROGRAM AND STANDARDS 285

Section 20.01: Purpose and Authority 285 Section 20.02: Definitions 285 Section 20.03: Permit Requirements for Reclaimed Water Systems 289 Section 20.04: Public Notice Requirements for Reclaimed Water 291 Section 20.05: Additional Requirements for Reclaimed Water Systems 291 Section 20.06: Requirements for the Use, Sale, Distribution or Offering for Use, Sale or Distribution of Reclaimed Water 292 Section 20.07: Activities Not Requiring a Permit Under 314 CMR 20.00, 314 CMR 3.00 or 314 CMR 5.00 292 Section 20.08: Effect of a Permit 293 Section 20.09: Restrictions on the Issuance of a Permit 293 Section 20.10: Application for a Permit for a Reclaimed Water System 293 Section 20.11: Required Submissions for Reclaimed Water Permit Applications 294 Section 20.12: The Engineering Report 294 Section 20.13: Requirements for Use of Reclaimed Water for Irrigation 295 Section 20.14: Requirements for Privately Owned Reclaimed Water Systems 296 Section 20.15: Signatories to Permit Applications, Reports and other Submittals 297 Section 20.16: Continuation of an Expiring Permit that was Issued by the Department Pursuant to 314 CMR 20.00 298 Section 20.17: Special Permit Conditions 302 Section 20.18: General Permit Conditions 305 Section 20.19: Modification, Transfer, Suspension, Revocation and Renewal of Reclaimed Water System Permits Issued by the Department Pursuant to 314 CMR 20.00 305 Section 20.20: Appendix A 307

5/1/09 314 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. 314 CMR: DIVISION OF WATER POLLUTION CONTROL

314 CMR 19.00: OIL SPILL PREVENTION AND RESPONSE

Section

19.01: Purpose and Authority 19.02: Definitions 19.03: Tug Escort Requirements 19.04: 24-hour Notification 19.05: Dispatching a State Pilot

19.01: Purpose and Authority

(1) The purpose of 314 CMR 19.00: Oil Spill Prevention and Response is to implement those provisions of St. 2004, c. 251, An Act Relative to Oil Spill Prevention and Response in Buzzards Bay and Other Harbors and Bays of the Commonwealth that are the responsibility of the Department to administer and enforce. The Oil Spill Act establishes M.G.L. c. 21M.

(2) The provisions of 314 CMR 19.00 are designed to prevent or reduce the risk of oil spills from tank vessels operating in Buzzards Bay and designated areas of special interest within Massachusetts waters. The regulations provide an incentive for such vessels to voluntarily engage a state pilot to navigate the vessel while operating in Buzzards Bay; and require certain vessels to engage the services of an escort tug while operating in designated areas of special interest within Massachusetts waters.

(3) 314 CMR 19.00 is promulgated pursuant to the Department's authority in St. 2004, c. 251, including M.G.L. c. 21M, §§ 1 and 6, and in St. 2008, c. 268, including M.G.L. c. 21M, §§ 8 and 14.

19.02: Definitions

Area of Special Interest - any water of the Commonwealth that is found by the Secretary of the Office of Environmental Affairs to contain one or more immobile obstacles to navigation, or abuts or includes areas of critical environmental concern, is designated as an estuary of national significance, abuts or includes habitat for endangered species, abuts or includes public recreation areas, supports shell fishing, fin fishing or tourist industries, or abuts or includes sensitive public safety areas. Such waters shall include, but not be limited to, Buzzards Bay, Vineyard Sound, and Mount Hope Bay.

Automatic Identification System (AIS) - a maritime navigation safety communications system standardized by the International Telecommunication Union (ITU) and adopted by the International Maritime Organization (IMO) that provides vessel information, including the vessel's identity, type, position, course, speed, navigational status, and other safety-related information automatically to appropriately equipped shore stations, other ships, and aircraft; receives automatically such information from similarly fitted ships; monitors and tracks ships; and exchanges data with shore-based facilities.

Automatic Radar Plotting Aid (ARPA) - a computer assisted radar data processing system that can be used to track objects using radar contacts, calculate the tracked object's course, speed and closest point of approach, thereby indicating if there is a danger of collision with another vessel or a landmass. A typical ARPA gives a presentation of a current situation and uses computer technology to predict future situations. An ARPA assesses the risk of collision, and enables the vessel operator to see proposed maneuvers by its own ship.

Buzzards Bay - the waterway bounded and described as follows: from Sakonnet Point southward to the north end of the Buzzards Bay traffic separation zone, to the southwestern tip of Cuttyhunk Island thence through Buzzards Bay to the eastern entrance of the Cape Cod Canal at the United States Coast Guard "CC" Buoy in Cape Cod Bay, including Woods Hole Passage and Quicks Hole.

5/1/09 314 CMR - 281 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 314 CMR: DIVISION OF WATER POLLUTION CONTROL

19.02: continued

Buzzards Bay Approaches. (a) the area up to 120 nautical miles to the north and east of Buzzards Bay including the waters off of Portland Harbor, Maine in approximate position latitude 43°-31.7' N, longitude 70°-05.5' W and including all of Cape Cod Bay and its eastern approaches; and (b) the area up to 120 nautical miles to the west and south of the Buzzards Bay Entrance Light including all of Vineyard Sound, Narragansett Bay and Block Island Sound, and Long Island Sound as far west as Execution Rocks in approximate position latitude 40°-52.6' N, longitude 70°-44.3' W.

Buzzards Bay Operating Area - the area inclusive of Buzzards Bay and Cape Cod Canal as defined in 314 CMR 19.00.

Cape Cod Canal - the waterway between the Cape Cod buoy at the eastern end of the entrance of the Cape Cod Canal in approximate position 41°-49.0' N, longitude 70°-27.7' W and the "G 1" buoy at the western entrance of the Cape Cod Canal in approximate position 41°-40.9' N, longitude 70°-40.8' W.

Commissioner - the Commissioner of the Department.

Department - the Massachusetts Department of Environmental Protection

Electronic Chart Display and Information System (ECDIS) - a computer-based navigation information system that complies with International Maritime Organization (IMO) regulations and can be used in lieu of paper navigation charts in some areas. The true ECDIS system displays information from electronic navigational charts and integrates position information from the Global Positioning System (GPS) and other navigational sensors, such as radar, fathometer and automatic identification systems (AIS).

State Pilot - a pilot commissioned under M.G.L. c. 103, or a pilot having received a first class federal pilot's endorsement for the waters of Buzzards Bay and Cape Cod Canal prior to March 1, 2009 and having executed at least 15 round trips as a pilot in such waters within the three years preceding that date, proof of which shall be documented by submitting a Master's Letter of Discharge or notarized written affidavit by the pilot indicating the name of the vessel and the date(s) and time(s) of each trip covered by the affidavit.

Tank Barge - a tank vessel without a means of self-propulsion or a self-propelled tank vessel less than 40 meters, 130 feet, in overall length.

Tank Vessel - a ship that is constructed or adapted to carry, or that carries, oil or other petroleum product in bulk as cargo and that operates on the waters of the Commonwealth or transfers oil or other petroleum products in a port or place subject to the jurisdiction of the Commonwealth.

Tugboat Escort. (a) a tug with twin screws and a separate system for power to each screw, with an aggregate shaft horsepower equivalent to 4,000 horsepower or greater and a minimum bollard pull of 50 tons; or (b) a tractor tug, having an aggregate horsepower equivalent to 4,000 horsepower or greater and a minimum bollard pull of 50 tons, which is propelled by blades or screws which may be manipulated or rotated to provide propulsive thrust to any part of a 3 60 degree arc relative to the keel or longitudinal axis of the tug. As of January 1, 2006, a tugboat escort shall be equipped with fire fighting equipment and, at a minimum, shall meet the requirements of the following American Bureau of Shipping (ABS) classifications: Fire Fighting Vessel Class 1 and Maltese Cross A1 (Towing Vessel).

Waters of the Commonwealth - all waters within the jurisdiction of the Commonwealth, including, without limitation, rivers, streams, lakes, ponds, springs, impoundments, estuaries, wetlands, coastal waters, and ground waters.

5/1/09 314 CMR - 282 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 314 CMR: DIVISION OF WATER POLLUTION CONTROL

19.03: Tug Escort Requirements

(1) Tugboat Escort Requirement. (a) Effective January 1, 2005, no tank vessel carrying 6,000 or more barrels of oil shall enter or transit any area of special interest within waters of the Commonwealth unless such tank vessel is accompanied by a tugboat escort. This tugboat escort requirement does not apply to a self-propelled tank vessel. A tugboat escort shall meet the definition of that term in 314 CMR 19.02. (b) The Department may authorize a tank vessel carrying 6,000 or more barrels of oil to enter or transit an area of special interest without a tugboat escort, or, accompanied by a tugboat that does not meet the definition of a tugboat escort in 314 CMR 19.02 whenever the Department determines that: 1. there are no tugboat escorts reasonably available to accompany the tank vessel in the relevant area of special interest; or 2. the delay in waiting for an available tugboat escort has or may reasonably result in a significant disruption of energy services to the public; or 3. the existence or threat of a public health, safety or environmental emergency or other unique circumstances warrant the Department's exercise of its enforcement discretion. The Department may establish policies, procedures, and case-specific conditions to implement its authority under 314 CMR 19.03(1)(b). Any Department authorization for a tank vessel to enter or transit an area of special interest without a tugboat escort, or, accompanied by a tugboat that does not meet the definition of a tugboat escort will relieve the owner or operator of such tank vessel from its obligation under 314 CMR 19.03(1)(a), to the extent specified in the Department's authorization. Nothing in 314 CMR 19.03(1)(b) or in a case-specific Department authorization shall be construed to relieve or otherwise limit the liability of the owner or operator of a tank vessel for any release of oil, hazardous material, or hazardous waste that occurs while the tank vessel enters or transits an area of special interest pursuant to a Department authorization under 314 CMR 19.03(1)(b). (c) The owner or operator of any tug that is serving as a tug escort shall certify to the Department, on a form established by the Department for such purposes, that the tug meets the design specifications and equipment requirements in the definition of a tugboat escort in 314 CMR 19.02. The Department reserves the right to require the owner or operator of any tug that is serving as a tug escort to further demonstrate to the Department's satisfaction that the tug meets the design specifications in the definition of a tugboat escort in 314 CMR 19.02, including the required minimum bollard pull, and is equipped with fire fighting equipment and meets the required ABS classifications, effective January 1, 2006.

(2) Minimum Standards for Equipment on Tugboat Escorts. The following minimum standards for equipment apply to tugboat escorts: (a) As of January 1, 2006, a tugboat escort shall be equipped with fire fighting equipment and, at a minimum, shall meet the requirements of the following ABS classifications: Fire Fighting Vessel Class 1 and Maltese Cross A1 (Towing Vessel). (b) All tugboat escorts shall be equipped with and maintain in good working order: 1. primary and secondary VHF radios; 2. fendering appropriate to absorb the impact inherent in hull-to-hull operations; 3. power line handling equipment fore and aft to mechanically assist in the deployment and/or retrieval of tow lines; 4. tow lines, whether provided by the tank vessel and/or the tugboat escort, shall be maintained in sufficient number, length, condition and strength to assure effective control of the intended vessel maneuver, based on weather conditions, the tank vessel size, and the tugboat escort's bollard pull, and have a strength of at least 1.5 times the tugboat escort's bollard pull; and 5. sufficient braking force to stop a tank vessel that is not self-propelled.

(3) Minimum Standards for Personnel on Tugboat Escorts. The following minimum standards for personnel apply to tugboat escorts: (a) Tugboat escort crew members shall be certified pursuant to applicable federal laws. (b) All tugboat escorts shall have sufficient and qualified line-handling capable crew members standing by and available to immediately receive lines from the tank vessel. The crew shall not be assigned duties that would interfere with their ability to immediately respond to an emergency situation.

5/1/09 314 CMR - 283 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 314 CMR: DIVISION OF WATER POLLUTION CONTROL

19.03: continued

(4) Pre-escort Conference. Prior to commencing an escorted transit, the tugboat captain shall contact the tank vessel master to confirm the position of the tank vessel, establish the radio frequency to be used and the anticipated direction of movement and destination of the tank vessel, and exchange other pertinent information that the tugboat captain and the tank vessel master deem necessary to facilitate operations in the case of an unplanned event.

(5) Reporting. The owner or operator of a tugboat shall submit to the Department a report on its tugboat escort activities on a form established by the Department for such purposes. Reporting shall occur on a quarterly basis or on another frequency specified by the Department. The owner or operator of the tugboat shall provide a copy of such report to the relevant Massachusetts pilot commissioner at the same time. At a minimum, the report shall include the following information: (a) the identity of all tank vessels escorted by the tugboat and a description of the type and the number of barrels of oil carried by the tank vessel; (b) the date and the transit route of all tank vessels escorted by the tugboat; and (c) a description of any problems encountered during the escorted transit and the response of the tugboat captain and/or the tank vessel master to such problems.

(6) Authority of the Commissioner to Contract with a Tugboat Escort Operator. The Commissioner may contract with one or more tugboat escort operators to assist in the implementation of the tugboat escort requirement in 314 CMR 19.03(1). If the Commissioner chooses to exercise this authority, any such contracting shall be the result of a competitive procurement that is conducted in consultation with the relevant Massachusetts pilot commissioner. Each tugboat escort operator contractor selected by the Commissioner shall meet the definition of a tugboat escort in 314 CMR 19.02, and meet or exceed the minimum standards for equipment and training of personnel on tugboat escorts in 314 CMR 19.03. Any contract with a tugboat escort operator shall provide for service at a regulated rate for a minimum of five years.

19.04: 24-hour Notification

(1) Effective March 1, 2009, an owner or operator of a tank vessel carrying 6,000 or more barrels of oil as cargo may provide 24 hour notice to the Department of its intent to enter or operate such vessel in Buzzards Bay.

(2) Notice provided pursuant to 314 CMR 19.04(1), which must be received at least 24 hours prior to transit, shall be made by calling a telephone number published by the Department and designated for that purpose, or on a form established by the Department for such purpose, and shall include the following information: (a) name and number of the caller, if telephone notice is provided; (b) name, address, and telephone number of the owner or operator of the vessel; (c) name of the vessel, type of vessel, type of oil, quantity of oil (reported in barrels), hull construction (single, double, or other); (d) current location of the vessel; (e) port of departure and destination of the vessel; and (f) estimated time of the vessel's entrance into the Buzzards Bay Operating Area.

19.05: Dispatching a State Pilot

(1) Effective March 1, 2009, if an owner or operator of a tank vessel provides notice at least 24 hours prior to transit, pursuant to 314 CMR 19.04, the owner or operator may request the services of a state pilot to assist the vessel to operate in or transit Buzzards Bay. The Commonwealth shall pay the pilotage and reasonable associated costs, including but not limited to pilot boat fee, fuel surcharges, docking/undocking fees, standby fees and overtime, provided that the: (a) tank vessel is carrying 6,000 or more barrels of oil and is unaccompanied by a tugboat escort; (b) tank vessel owner or operator has provided 24 hour notification pursuant to M.G.L. c. 21M, §9(a) and 314 CMR 19.04; (c) tank vessel is not otherwise required by law to engage a pilot; and (d) state pilot is not a member of the tank vessel's crew.

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19.05: continued

(2) For purposes of 314 CMR 19.05(1), the tank vessel owner or operator shall request a pilot by contacting the appropriate District 3 pilot dispatcher office during the normal course of business in District 3 Waters of the Commonwealth, as defined in M.G.L. c. 103, § 1, and according to the process established by the District 3 Deputy Pilot Commissioner.

(3) A pilot engaged pursuant to 314 CMR 19.05(1) shall comply with, and be subject to all the laws, rules, and regulations applicable to his or her commission.

REGULATORY AUTHORITY

314 CMR 19.00: St. 2008, c. 268 and M.G.L. c. 21M, §§ 8 and 14.

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NON-TEXT PAGE

5/1/09 314 CMR - 284.2 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 # 674

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 322 CMR 12.00

CHAPTER TITLE: Protected Species

AGENCY: Division of Marine Fisheries

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. Complements federal regulations that are part of the Harbor Porpoise & Atlantic Large Whale Take Reduction Plans, as well as relocating surface gillnet permit requirements into proper permitting chapter 7.00.

REGULATORY AUTHORITY: M.G.L. c21A s2, c30A s2 & c130 17A & 80

AGENCY CONTACT: Melanie Griffin PHONE: 617.626.1528

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

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

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

PRIOR NOTIFICATION AND/OR APPROVAL - If prior notification to and/or approval of the Governor, Legislature or others was required, list each notification, and/or approval and date, including notice to the Local Government Advisory Commission. Marine Fisheries Advisory Commission...03/12/2009 Commissioner, Department of Fish & Game...03/18/2009

Date of public hearing or comment period: 01/26&27/2009

For the first five years:

No fiscal effect:

Gillnetters will re-gain access to a portion of waters in the northern Gulf of Maine that is no longer closed under the Harbor Porpoise Take Reduction Plan.

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

PROMULGATION - State the action taken by this regulation and its effect on existing provisions of the Code of Massachusetts Regulations (CMR) or repeal, replace or amend. List by CMR number: Amends 322 CMR 12.01, 12.02, 12.03, 12.04, 12.05, 12.06, 12.07, 12.08, 12.09, 12.10 & 12.11; Establishes 322 CMR 12.12.

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 18 2009

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1129 DATE: 05/01/2009

EFFECTIVE DATE: 05/01/2009

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: 93 - 94.4 93 - 94.6

04/15/2009 cm

322 CMR 12.00: PROTECTED SPECIES

Section

12.01: Purpose 12.02: Definitions 12.03: Prohibition on Certain Gear or Lines in Waters under Jurisdiction of the Commonwealth 12.04: Seasonal Gillnet Closures and Gear Restrictions 12.05: Fixed Gear Seasonal Gear Restrictions 12.06: Year-round Gear Restrictions 12.07: Buffer Zone 12.08: Harassment and Harm 12.09: Entanglement Reporting 12.10: Exceptions 12.11: Protected Species (Reserved) 12.12: Right Whale Cape Cod Bay Critical Habitat Map

12.01: Purpose

The Division of Marine Fisheries works to protect marine protected species such as endangered turtles, harbor porpoise and large whales. The Division's efforts dovetail with federal regulation of marine mammals, including the northern right whale is the rarest of the world's great whales. Despite international protection by the International Whaling Commission established pursuant to the 1946 International Convention for the Regulation of Whaling and national protection afforded by the Marine Mammal Protection Act of 1972 and the Endangered Species Act of 1973 the northern right whale is listed as endangered and its population remains dangerously low in the Atlantic. In response to this threat the Massachusetts Legislature passed a Resolve in 1985 requesting the Department of Fisheries, Wildlife and Environmental Law Enforcement to study the right whale in Massachusetts waters and make recommendations for its conservation. That study recommended, among other measures, a 500 yard buffer zone between right whales and vessels within Massachusetts waters. The purpose of 322 CMR 12.00 is to:

(1) implement a 500 yard buffer zone and prohibit activities of vessels that affect large whales, including right whales, within waters under the jurisdiction of the Commonwealth. 322 CMR 12.00 exempts vessels with federal or state Right Whale scientific study permits and commercial fishing vessels in the act of hauling back or towing gear. In addition, 322 CMR 12.00 applies to both commercial and recreational fishermen, but only to waters under the jurisdiction of the Commonwealth.

(2) minimize the risk of large whale entanglements, including right whales in waters under the jurisdiction of the Commonwealth.

(3) reduce interactions between harbor porpoise and commercial gillnet gear in waters under the jurisdiction of the Commonwealth.

12.02: Definitions

For the purposes of 322 CMR 12.00:

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

Buffer Zone means an area outward from a right whale a distance of 500 yards in all directions.

Cape Cod Bay means the area that encompasses the state waters portion of the Cape Cod Bay Critical Habitat plus an additional area to the west of the Critical Habitat south of a line that runs east and west at 42/ 05' and that terminates at the Brant Rock shoreline in the town of Marshfield.

5/1/09 322 CMR - 93 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

12.02: continued

Critical Habitat means those waters in Cape Cod Bay under the jurisdiction of the Commonwealth that fall within the federally designated Right Whale Cape Cod Bay Critical Habitat area listed in the federal Right Whale Recovery Plan and found in 322 CMR 12.11.

Double means a two pot string with a single line attached.

Fixed Fishing Gear means any bottom or sink gillnets or pots that are set on the ocean bottom or in the water column and are usually connected to lines that extend to the water's surface.

Gillnet means anchored, or surface or drifting vertical walls of webbing, buoyed on top and weighted at the bottom, designed to capture fish by entanglement, gilling, or wedging.

Groundlines means the lines connecting pots on a pot trawl and lines connecting gillnets to anchors.

Harass means to approach, pursue, chase, follow, interfere with, observe, threaten, harm in any fashion, turn in any manner to intercept or attempt to engage in any such conduct.

Negatively Buoyant Line means line that has a specific gravity equal to or greater than that of seawater, 1.03, and does not float up in the water column.

Positively Buoyant Line means line that has a specific gravity less than that of seawater, 1.03, and floats up in the water column.

Pot means any lobster or fish trap placed on the ocean bottom.

Pot Trawls or Strings means single pots tied together in a series and buoyed at both ends.

Right Whale means that species of marine mammal known as Eubalaena (Balaena) glacialis.

Single Pots means individual pots buoyed at the surface.

To Abandon or To Store means to leave fixed gear in the water without hauling it at least every 30 days or in prohibited areas during prohibited periods.

To Fish means to use, set, maintain, leave in the water or haul gillnets or pots to harvest, catch, or take any species of fish or lobster.

Vessel means any waterborn craft.

Weak Link means a breakable section or device that will part when subjected to specified poundage of pull pressure and after parting, will result in a knot-less end, no thicker than the diameter of the line, the so-called “bitter end” to prevent lodging in whale baleen.

12.03: Prohibition on Certain Gear or Lines in Waters under Jurisdiction of the Commonwealth

(1) It shall be unlawful for any person to fish fixed fishing gear with: (a) Lines floating at the water’s surface; (b) Positively buoyant groundline; and (c) Buoy lines comprised of positively buoyant line except the bottom portion of the line which may be a section of floating line, not to exceed a of overall length of the buoy line.

(2) It shall be unlawful to abandon any fixed gear.

12.04: Seasonal Gillnet Closures and Gear Restrictions

The following closures complement federal regulations intended to minimize gear entanglements of right whales in the Critical Habitat and Cape Cod Bay as well as harbor porpoises in Massachusetts Bay and Cape Cod South during seasonal periods when right whales and harbor porpoises are most likely to be aggregated in these areas.

5/1/09 322 CMR - 94 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

12.04: continued

(1) Definitions.

Pinger means an acoustic deterrent device which, when immersed in water, broadcasts a 10 kHz (±2 kHz) sound at 132 dB (±4 dB) re one micropascal at one m, lasting 300 milliseconds (±15 milliseconds), and repeating every four seconds (±.2 seconds).

(2) Closures. (a) Right Whale Critical Habitat and Cape Cod Bay. It is unlawful to fish, store, or abandon gillnets in Critical Habitat and in waters of Cape Cod Bay west of the Critical Habitat south of 42° during the period January 1st through May 15th. 322 CMR 12.04 may be amended in a future rulemaking, with notice and opportunity for public comment, if gillnet specifications are developed and demonstrated that will minimize risk of entanglement to right whales. (b) Massachusetts Bay Harbor Porpoise Closure. It is unlawful to use, set, maintain, or fish with bottom or sink gillnets during the period March 1st through March 31st, in waters under the jurisdiction of the Commonwealth encompassed by an imaginary line beginning at the intersection of the 42° 30'N parallel of latitude with the shoreline of Marblehead; thence in an easterly direction following the 42° 30'N parallel of latitude to a point where it intersects the territorial seas line; thence in a southerly and then easterly direction following the territorial seas line to its intersection with an imaginary straight line extending from 42° 04.8'N/70° 10'W to 42° 12'N/70° 15'W; thence in a southeasterly direction following said line to the shore in Provincetown; thence in a westerly direction along the shore of Cape Cod Bay and Massachusetts Bay to the starting point. (c) South of Cape Cod Harbor Porpoise Closure. It is unlawful to use, set, maintain, or fish with bottom or sink gillnets during the period March 1st through March 31st, in waters under the jurisdiction of the Commonwealth west of the 70° 30'W longitude line and south of a line drawn westerly from the intersection of the 70° 30'W longitude line with the Mashpee shoreline.

(3) Pinger Requirements. (a) Attachment. An operating and functional pinger must be attached at the end of each string of gillnets and at the bridle of every net within a string of nets. (b) Areas and Times When Required. It is unlawful for any fisherman to fish sink gillnets as defined in 322 CMR 4.14 without pingers attached as specified in 322 CMR 12.12 during the following times and in waters under jurisdiction of the Commonwealth within the following areas: 1. September 15th through May 31st in Upper Massachusetts Bay and Ipswich Bay from Marblehead to the New Hampshire Border within the waters under the jurisdiction of the Commonwealth north of the 42° 30' line to the Massachusetts/New Hampshire border. 2. From December 1st through February and April 1st through May 31st in the Massachusetts Bay Area, an area bounded by straight lines connecting the following points in the order stated:

Point N. Latitude W. Longitude MB1 42° 30' Massachusetts Shoreline MB2 42° 30' 70° 30' MB3 42° 12' 70° 30' MB4 42° 12' 70° 00' MB5 Cape Cod Shoreline 70° 00' MB6 42° 00' Cape Cod Shoreline MB7 42° 00' Massachusetts Shoreline

5/1/09 322 CMR - 94.1 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

12.04: continued

3. From December 1st through February and April 1st through May 31st in the Cape Cod South Area, an area bounded by straight lines connecting the following points in the order stated:

Point N. Latitude W. Longitude CCS1 Rhode Island Shoreline' 71° 45' CCS2 40° 40' 71° 45' CCS3 40° 40' 70° 30' CCS4 Massachusetts Shoreline 70° 30'

(c) Exceptions Pinger requirements as specified in 322 CMR 12.12 do not apply to non-anchored surface gillnets as defined in 322 CMR 4.14

(2) Single Pots and Pot Trawls in Critical Habitat. To minimize the number of vertical buoy lines during the period January 1st through May 15th, in the Critical Habitat, fishermen may fish them in either multiple pot trawls of four pots or more with vertical buoy lines on each end or may set doubles. It is unlawful to fish, store, or abandon: (a) single pots, or (b) a trawl with less than four pots with vertical lines on the first and last pot of the trawl. (c) a trawl with four or more pots having other than a single vertical line attached to the first and last pot of the trawl. (d) a double with more than one vertical buoy line.

(3) Break-away Buoy Lines Fitted with Weak Buoy Links in Critical Habitat. During January 1st through May 15th all buoy lines attached to trawls or doubles shall be equipped with a Weak Buoy Link along the buoy line. A list of DMF approved weak-buoy links is available from DMF and furnished to fishermen upon request.

(4) Special Marking Scheme for Fixed Gear in Critical Habitat. During January 1st through May 15th lobster gear fished in Critical Habitat shall be marked in accordance with 322 CMR 4.13(3)(d).

(5) Modifications. The Director may amend by emergency authority the gear time and area restrictions in response to changes in right whale migrations and distributions. The Director may suspend the fixed gear rules if whales depart the Bay early in the season. If at least three full surveys of Cape Cod Bay are successfully completed after April 1st yielding no right whale sightings, and if corroborating evidence supports whales’ departure from the Critical Habitat, the Director may suspend the fixed gear restrictions beginning on April 21st or thereafter.

(6) Experimental Fishery Permits for Gear Testing. The Director may issue experimental fishery permits to authorize a person to fish fixed gear that does not conform with the specifications set in 322 CMR 12.03 for the purposes of developing and testing new gear designs to minimize risk of right whale entanglement in Critical Habitat.

12.05: Fixed Gear Seasonal Gear Restrictions

(1) Single Pots and Pot Trawls in Right Whale Critical Habitat. To minimize the number of vertical buoy lines during the period January 1st through May 15th the Critical Habitat, fishermen may fish them in either multiple pot trawls of four pots or more with vertical buoy lines on each end or may set doubles. It is unlawful to fish, store, or abandon: (a) single pots; or (b) a trawl with less than four pots with vertical lines on the first and last pot of the trawl. (c) a trawl with four or more pots having other than a single vertical line attached to the first and last pot of the trawl. (d) a double with more than one vertical buoy line.

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12.05: continued

(2) Modifications. The Director may amend by emergency authority the gear time and area restrictions in response to changes in right whale migrations and distributions. The Director may suspend the fixed gear rules if whales depart the Bay early in the season. If at least three full surveys of Cape Cod Bay are successfully completed after April 1st yielding no right whale sightings, and if corroborating evidence supports whales' departure from the Critical Habitat, the Director may suspend the fixed gear restrictions beginning on April 21st or thereafter.

(3) Experimental Fishery Permits for Gear Testing. The Director may issue experimental fishery permits to authorize a person to fish fixed gear that does not conform with the specifications set in 322 CMR 12.00 for the purposes of developing and testing new gear designs to minimize risk of right whale entanglement in Critical Habitat.

12.06: Year-round Gear Restrictions

(1) Gillnets. It is unlawful to fish any gillnet in any waters under the jurisdiction of the Commonwealth unless the net is rigged with the following breakaway features: (a) Knot-less weak link at the buoy with a breaking strength of 600 pounds. (b) Weak links with a breaking strength of up to 1,100 pounds are installed in the float rope between net panels. (c) Anchoring system for the gillnets must anchor with the holding power of at least 22 pound Danforth anchor.

(2) Trap/Pot Gear. It is unlawful to fish any traps or pots in any waters under the jurisdiction of the Commonwealth unless all buoy lines are equipped with a Weak Link that will part when subjected to 600 pounds or less of pull pressure along the buoy line.

(3) Exceptions. (a) During January 1st through May 15th, all buoy lines attached to traps or pots fished in the Right Whale Critical Habitat shall be equipped with a Weak Buoy Link that will part when subjected to 500 pounds or less of pull pressure along the buoy line. (b) Weak link requirements shall not apply to buoy lines attached to non-commercial lobstser traps or pots until January 1, 2010.

(4) A list of DMF approved weak links is available from DMF and furnished to fishermen upon request.

12.07: Buffer Zone

Except as otherwise provided for in 322 CMR 12.08, it is unlawful:

(1) for any vessel to enter a right whale buffer zone,

(2) for any vessel to approach or intercept a right whale within a buffer zone;

(3) for any vessel not to depart immediately from a buffer zone, or;

(4) for any commercial fishing vessel which has completed a haul back, a tow of its gear or otherwise completed its fishing operation and is no longer at anchor not to depart immediately from a buffer zone;

12.08: Harassment and Harm

It is unlawful for any vessel to harass or to harm any right whale at any time or place.

12.09: Entanglement Reporting

It is unlawful for any commercial or recreational vessel to fail to report the entanglement of a right whale in its gear or lines.

5/1/09 322 CMR - 94.3 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. 322 CMR: DIVISION OF MARINE FISHERIES

12.10: Exceptions

(1) Federal Permit. Any person issued a permit from any federal department, agency or instrumentality having authority to issue permits for the scientific research, observation, or management of the right whale, may conduct the activity authorized by such permit.

(2) State Permit. Any person issued a permit in accordance with 322 CMR 7.01(4)(d) for the scientific research, observation, or management of the right whale may conduct the activity authorized by such permit.

(3) Commercial Fishing. Commercial fishing vessels in the act of hauling back, towing gear or engaged in fishing operations at anchor within a buffer zone created by the surfacing of a right whale, may complete the haul, tow or fishing operation provided it does so with a minimum of disruption to the right whale, hauls, tows or conducts its fishing operation in a direction away from the right whale, and departs from the buffer zone immediately after the haul, tow, or fishing operation. In no event may 322 CMR 12.09(3) be construed to authorize a commercial fishing vessel to begin to haul, tow, or conduct its fishing operation in or into a buffer zone.

(4) Disentanglement. (a) To assist federally approved disentanglement efforts for northern right whales, any vessel that reports to the National Marine Fisheries Service, the Division of Environmental Law Enforcement, the Coast Guard, or to designees of those agencies, that it has sighted an entangled right whale may operate in the buffer zone to assist those agencies in locating and tracking the whale if requested to do so by those agencies. (b) Any vessel operating in the buffer zone under 322 CMR 12.06(4) shall: 1. operate so as to minimize disruption to the right whale, and 2. immediately depart the buffer zone once the disentanglement effort begins, or when requested to do so by the agencies or their designees. (c) When conducting activities within the scope of 322 CMR 12.06(4), vessels shall make every effort to comply with 322 CMR 12.00.

12.11: Protected Species (Reserved)

5/1/09 322 CMR - 94.4 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. 322 CMR: DIVISION OF MARINE FISHERIES

12.12: Right Whale Cape Cod Bay Critical Habitat Map

The following map depicts the Cape Cod Bay Critical Habitat and its coordinates.

REGULATORY AUTHORITY

322 CMR 12.00: M.G.L. c. 130, § 17(11); c. 30A.

5/1/09 322 CMR - 94.5 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

NON-TEXT PAGE

5/1/09 322 CMR - 94.6 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 # 670

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 322 CMR 4.00

CHAPTER TITLE: Fishing & Shellfish Equipment

AGENCY: Division of Marine Fisheries

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. Clarifies current policies governing the harvest of pelagic species (menhaden, mackerel and sea herring) by nets (purse seines, gillnets and cast nets) and implements new rules to complement existing policies and management strategies as well as complements federal regulations that are part of the Harbor Porpoise and Atlantic Large Whale Take Reductions Plans.

REGULATORY AUTHORITY: M.G.L. c21A s2, c.30A s2 & c.130 s. 17A

AGENCY CONTACT: Melanie Griffin PHONE: 617.626.1528

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

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

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

PRIOR NOTIFICATION AND/OR APPROVAL - If prior notification to and/or approval of the Governor, Legislature or others was required, list each notification, and/or approval and date, including notice to the Local Government Advisory Commission. Marine Fisheries Advisory Commission...03/12/2009 Commissioner, Department of Fish & Game...03/18/2009

Date of public hearing or comment period: 01/26&27/2009

No fiscal effect:

Some increased harvest opportunities for small bait businesses under inshore net rules, otherwise proposed rules simply codify current policies already applied to harvesters. Increased harvest opportunities for gillnetters re-gaining access to area no longer closed under Harbor Porpoise Take Reduction Plan. CODE OF MASSACHUSETTS REGULATIONS INDEX - List key subjects that are relevant to this regulation:

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

SIGNATURE: SIGNATURE ON FILE DATE: Mar 18 2009

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1129 DATE: 05/01/2009

EFFECTIVE DATE: 05/01/2009

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: 1 - 4 1 - 4 17 - 22 17 - 22 25 - 28 25 - 28.2

04/15/2009 cm

Table of Contents Page

322 CMR 1.00: ENFORCEMENT OF RULES AND REGULATIONS 5

Section 1.01: Safe Boarding and Inspection 5

322 CMR 2.00: ADOPTING ADMINISTRATIVE REGULATIONS 7

Section 2.01: Definition of Regulation 7 Section 2.02: Petition for Adoption of Regulations 7 Section 2.03: Initial Procedure to Handle Recommended Regulations 7 Section 2.04: Participation at Preliminary Meeting 7 Section 2.05: Procedure for the Adoption, Amendment or Repeal of Regulations Where No Public Hearing is Required 8 Section 2.06: Procedure for the Adoption or Amendment of Regulations Where a Public Hearing is Required 8 Section 2.07: Availability of Regulation 9 Section 2.08: Filing of Regulation 10 Section 2.09: Advisory Ruling 10

322 CMR 3.00: 1971 COMPILATION 11

Section 3.01: Protect Shad in the Palmer River, Rehoboth 11 Section 3.02: Taking of White Perch from the Agawam River, Wareham 11 Section 3.03: Transplanting Seed or Adult Oysters (Special Permit) 11 Section 3.04: Use and Operation of Mobile Fishing Gear in Certain Territorial Waters of the Commonwealth 11 Section 3.05: Taking of Anadromous Fish, Except Alewives and River Herring, in the Territorial Waters of Massachusetts 14 Section 3.06: Taking of Coho Salmon (Oncorhynchus kisutch) 14 Section 3.07: Marking of Lobster Equipment 15

322 CMR 4.00: FISHING AND SHELLFISH EQUIPMENT 17

Section 4.01: Use of Purse Seines in Cape Cod Bay 17 Section 4.02: Use of Nets in Inshore Restricted Waters 18 Section 4.04: Fish Weir Buffer Zone 21 Section 4.05: Use of Nets for the Taking of Bluefish (Pomatomus Saltatrix) 22 Section 4.06: Use of Mobile Gear 23 Section 4.08: Fishing and Shellfish Equipment (Reserved) 25 Section 4.09: Use of Gillnets South and West of Cape Cod 25 Section 4.10: Use of Sea Scallop Dredges 25 Section 4.11: Use of Gillnets in Massachusetts Bay 25 Section 4.12: Use of Nets for Taking Striped Bass (Morone saxatalis) or Shad (Alosa sapidissima) 27 Section 4.13: Fixed Gear Marking and Maximum Length Requirements 27 Section 4.14: Surface Gillnet Restrictions 28 Section 4.15: Use of Cast Nets for Harvest of Bait 28

322 CMR 5.00: NORTHERN SHRIMP 29

Section 5.01: Purpose 29 Section 5.02: Definitions 29 Section 5.03: Permits 30 Section 5.04: Annual Specifications 30 Section 5.05: Gear Restrictions 30 Section 5.06: Regulated Species Prohibition 32

322 CMR 6.00: REGULATION OF CATCHES 33 Section 6.01: Lobster Maximum and Minimum Sizes 33 Section 6.02: Taking of Lobsters in the Coastal Waters of the Commonwealth 34 Section 6.03: Cod, Haddock, Pollock, Yellowtail Flounder, Halibut and Monkfish 34.2 Section 6.04: Atlantic Bluefin Tuna 34.4 Section 6.05: Atlantic Sea Scallop (Placopecten Magellanicus) Management 38

5/1/09 322 CMR - 1 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

Table of Contents Page 322 CMR 6.00: REGULATION OF CATCHES (continued)

Section 6.06: Atlantic Salmon Restoration 39 Section 6.07: Striped Bass Fishery (Morone Saxatalis) 39 Section 6.08: Surf Clam and Ocean Quahog Fisheries 42.2 Section 6.09: Winter Flounder, Fluke, Dabs and Gray Sole 48 Section 6.10: Management of the Asiatic Freshwater Clam (Corbicula Fluminea) 48 Section 6.11: Bay Scallops Harvest Criteria 49 Section 6.12: Fish Pot Fishery Permits 49 Section 6.13: Lobster Trap Limit in the Coastal Waters of the Commonwealth 51 Section 6.14: Lobster Car Restrictions 52.2 Section 6.15: Black Sea Bass, Scup, and Conch Fishery Pot Limit 52.2 Section 6.16: Atlantic Sturgeon Prohibition 52.3 Section 6.17: River Herring 53 Section 6.18: Bluefish Recreational Catch Limit 53 Section 6.19: Blue Crab Restrictions 53 Section 6.20: Minimum Sizes for Quahogs, Soft Shelled Clams and Oysters 54 Section 6.21: Minimum Size for Conch 54 Section 6.22: Summer Flounder (Fluke) Restrictions 54 Section 6.23: Winter Flounder Restrictions 56 Section 6.24: Sea Urchin Management 56 Section 6.25: Lobster Landing Window 57 Section 6.26: Bycatch Lobster Landing/Possession Limits 57 Section 6.27: Scup and Black Sea Bass Permitting and Reporting Requirements 58 Section 6.28: Commercial Scup and Black Sea Bass Fishery Limits 58.1 Section 6.29: Acushnet River Estuary Fisheries Closures 58.2.1 Section 6.30: American Eels 58.2.1 Section 6.31: Trap Tags 58.3 Section 6.32: Frozen Shell-on Lobster Parts 58.4 Section 6.33: Lobster Management Areas 58.5 Section 6.34: Horseshoe Crab Management 58.8 Section 6.35: Spiny Dogfish Management 58.9 Section 6.36: Quahog Management in State Waters 58.10 Section 6.37: Coastal Shark Conservation and Management 58.11 Section 6.38: Shellfish Landing Restrictions Necessitated by Marine Biotoxins 58.11 Section 6.39: Loligo Squid Management 58.11 Section 6.40: Commercial Tautog (Tautoga onitis) Fishery Limits 58.12 Section 6.41: Smooth Dogfish (Mustelus canis) Management 58.12

322 CMR 7.00: PERMITS 59

Section 7.01: Form, Use and Contents of Permits 59 Section 7.02: Master and Subordinate Digger Permits 64 Section 7.03: Coastal Lobster Permit and Trap Allocation Transfer Programs 66 Section 7.04: Commercial Fisheries Control Date 67 Section 7.05: Coastal Access Permit (CAP) 67 Section 7.06: Transfer of Limited Entry Permits 68.1 Section 7.07: Dealers Acting as Primary Buyers 68.2 Section 7.08: Offshore Lobster Fishery Control Date and Moratorium 68.3 Section 7.09: Fish Pot Permits and Transfers 68.3

322 CMR 8.00: COASTAL FISHERIES CONSERVATION AND MANAGEMENT 69

Section 8.01: Purpose and Scope 69 Section 8.02: Definitions 69 Section 8.03: Night Closure to Mobile Gear Fishing 70.1 Section 8.04: Mobile Gear Restriction 70.1 Section 8.05: Vessel Length Limits 70.1 Section 8.06: Minimum Size and Possession Limits 70.1 Section 8.07: Mesh Size Restrictions 71 Section 8.08: Permits 72 Section 8.09: Spawning Area Closures 73 Section 8.10: Gillnet Mesh Size and Permit Requirements 74 Section 8.11: Prohibitions 74 Section 8.12: Groundfish Closures in the Gulf of Maine 75

5/1/09 322 CMR - 2 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

Table of Contents Page

322 CMR 8.00: COASTAL FISHERIES CONSERVATION AND MANAGEMENT (continued)

Section 8.13: Tautog Commercial Fishery Closure 76 Section 8.14: Upper Cape Cod Whiting Area 76 Section 8.15: Seasonal Cod Protection Measures 76.2

322 CMR 9.00: MANAGEMENT OF SEA HERRING 77

Section 9.01: Definitions 77 Section 9.02: Management Area Boundaries 78 Section 9.03: Spawning Herring Protection 79 Section 9.04: Vessel Size Limit 79 Section 9.05: Fishing Restrictions and Annual Specifications 79

322 CMR 10.00: MANAGEMENT OF MODERATELY CONTAMINATED SHELLFISH 81

Section 10.01: Definitions 81 Section 10.02: Authorization 82 Section 10.03: Agents 82 Section 10.04: Containers 83 Section 10.05: Transportation 84 Section 10.06: Hold-Over 84 Section 10.07: Records 84 Section 10.08: Purification 85 Section 10.09: Shellfish Release 85 Section 10.10: Prohibitions 85 Section 10.11: Penalties 88

322 CMR 11.00: INTERNAL WATERS PROCESSING 89

Section 11.01: Definitions 89 Section 11.02: Authorization 89 Section 11.03: Exception 90 Section 11.04: Application 90 Section 11.05: Conditions 91 Section 11.06: Termination 91

322 CMR 12.00: PROTECTED SPECIES 93

Section 12.01: Purpose 93 Section 12.02: Definitions 93 Section 12.03: Prohibition on Certain Gear or Lines in Waters under Jurisdiction of the Commonwealth 94 Section 12.04: Seasonal Gillnet Closures and Gear Restrictions 94 Section 12.05: Fixed Gear Seasonal Gear Restrictions 94.2 Section 12.06: Year-round Gear Restrictions 94.3 Section 12.07: Buffer Zone 94.3 Section 12.08: Harassment and Harm 94.3 Section 12.09: Entanglement Reporting 94.3 Section 12.10: Exceptions 94.4 Section 12.11: Protected Species (Reserved) 94.4 Section 12.12: Right Whale Cape Cod Bay Critical Habitat Map 94.5

(322 CMR 13.00: RESERVED) 95

322 CMR 14.00: REGULATION OF AQUACULTURE PRODUCTS 97

Section 14.01: Aquaculture Raised Hybrid Striped Bass 97

5/1/09 322 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. 322 CMR: DIVISION OF MARINE FISHERIES

Table of Contents Page

322 CMR 15.00: MANAGEMENT OF MARINE AQUACULTURE 99

Section 15.01: Purpose and Scope 99 Section 15.02: Definitions 99 Section 15.03: Authorization 100 Section 15.04: Permits 100 Section 15.05: Application 101 Section 15.06: Site Review 102 Section 15.07: Biological Controls 102 Section 15.08: Operation 103 Section 15.09: Monitoring 104 Section 15.10: Non-indigenous Species 104

4/6/07 322 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. 322 CMR: DIVISION OF MARINE FISHERIES

322 CMR 4.00: FISHING AND SHELLFISH EQUIPMENT

Section

4.01: Use of Purse Seines in Cape Cod Bay 4.02: Use of Nets in Inshore Restricted Waters 4.04: Fish Weir Buffer Zone 4.05: Use of Nets for the Taking of Bluefish (Pomatomus Saltatrix) 4.06: Use of Mobile Gear 4.08: Fishing and Shellfish Equipment (Reserved) 4.09: Use of Gillnets South and West of Cape Cod 4.10: Use of Sea Scallop Dredges 4.11: Use of Gillnets in Massachusetts Bay 4.12: Use of Nets for Taking Striped Bass (Morone saxatalis) or Shad (Alosa sapidissima) 4.13: Fixed Gear Marking and Maximum Length Requirements 4.14: Surface Gillnet Restrictions 4.15: Use of Cast Nets for Harvest of Bait

4.01: Use of Purse Seines in Cape Cod Bay

Rules and Regulations Governing the Use of Purse Seines in Cape Cod Bay, adopted under provisions of M.G.L. c. 30A and M.G.L. c. 130, §§ 2, 17A and 104.

(1) General. (a) No person shall fish with nets or seines, commonly known as purse seines, in Cape Cod Bay inside of a line drawn from Sesuit Harbor in Dennis, northerly to #1 buoy on Billingsgate Shoal, thence northeasterly to Jeremy Point, so-called, in Wellfleet unless he is the holder of a Special Permit for a Regulated Fishery which may be issued by the Division. (b) All persons fishing within the regulated area shall, inasmuch as possible, monitor channel 2638 on the marine radio or channel 23 CB for information pertaining to sport fishing activity in the area and shall avoid fishing in the immediate areas where sports fishermen are concentrated. (c) The Director or his agents shall have the right to board and inspect any vessels engaged in the regulated fishery and to immediately suspend fishing operations, if in his judgement, such action is warranted to protect any fishery.

(2) Restricted Area. In addition to 322 CMR 4.01(1) governing seining in the said portion of Cape Cod Bay, seining inside of a line drawn from Rock Harbor, Orleans, northwesterly to the #2 flashing red/bell buoy, thence northerly to Jeremy Point, so-called, in Wellfleet shall be subject to the following specific regulations: (a) Permittees shall obtain special authorization from the Director to seine within the restricted area. (b) Permittees wishing to seine in the restricted area shall post a bond in the amount of $1,500 to cover any costs incurred by local or state government for picking up and disposing of any fish that may be spilled by the permittee. (c) Seining shall be prohibited in the restricted area prior to June 7th of each year. (d) Not more than two vessels may seine in the restricted area at any one time. (e) Applications for special authorization to seine in the restricted area must be received at the office of the Director by June 1st, of each year. In the event that there are more than two applicants for special authorization, the Director shall have the right to set up a drawing by chance to determine the allocation of special authorizations. (f) Permittees shall notify the Division (at 727-3189) and the Harbor Master of the Town of Wellfleet on each day that they intend to conduct seining operations in the restricted area. (g) All carrier boats must "stand by" or "lay off" outside of the #10 buoy in the Wellfleet Harbor channel and shall not operate inside of said buoy except for direct ingress or egress from the harbor or to immediately take on or land the catch from the permitted seining operation.

(3) Closed Area. Seining is prohibited at all times in Wellfleet Harbor north of latitude 41° 55'.

5/1/09 322 CMR - 17 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

4.02: Use of Nets in Inshore Restricted Waters

(1) Purpose. The purpose of 322 CMR 4..02 is to manage net fishing participation in the nearshore harbors, bays, estuaries, tidal creek, river, and salt ponds inshore waters of the Commonwealth on a year-round basis with a particular focus on winter flounder and the spawning season. In addition, it is designed to reduce conflicts between different fisheries and users and to identify and regulate all inshore net fisheries for purposes of resource conservation and management.

(2) Inshore Restricted Waters. 322 CMR 4.02 contains a listing of the defined inshore waters and the description of the outer boundaries as delineated by specific structures such as jetties, points, and other landmarks. (a) Boston and North 1. Merrimack River. Waters inside a line drawn between easternmost tips of north and south jetties. 2. Plum Island Sound. Waters inside a line drawn from the dome on Castle Hill, Ipswich to the southernmost tip of Plum Island -- Approx. 5° True. 3. Essex Bay. Waters inside northwesternmost point of Wingaersheek Beach to the southeasternmost point of Castle Neck -- Approx. 72° True. 4. Annisquam River, Gloucester. Waters inside line from northern tip of Farm Point to the Annisquam River Horn on Wigwam Point -- Approx. 53° True. 5. Rockport Harbor. Waters inside line drawn from the spit on the southern shore of the Harbor to the flasher on the easternmost tip of the north breakwater -- Approx. 354° True. 6. Gloucester Harbor. Waters inside line drawn from Eastern Point Flashing beacon to Mussel Point -- Approx. 350° True. 7. Manchester Harbor. Waters inside line drawn from westernmost tip of Proctor Point to Tucks Point -- Approx. 350° True. 8. Beverly Harbor. Waters inside line drawn eastern most tip of Yacht Club Pier to southernmost tip of Woodbury Point -- Approx. 29° True. 9. Salem Harbor. Waters inside line drawn from Ft. Pickering Light to nothernmost tip of Naugus Head, Marblehead -- Approx. 148° True. 10. Marblehead Harbor. Waters inside line drawn from flashing green beacon on northernmost tip of Marblehead Neck to the flag tower at Ft. Seawall -- Approx. 302° True. 11. Lynn Harbor. Waters inside line drawn from easternmost tip of Point of Pines to the Cupola on Little Nahant -- Approx. 108° True. 12. Boston Harbor. All waters inside lines drawn from the tower on Telegraph Hill in the town of Hull to the southernmost point of Lovell Island thence from the northernmost point of Lovell Island to the southeasternmost tip of Deer Island. (b) Cape Cod Canal to Boston. 1. Little Harbor, Cohasset. All waters west and south of Atlantic Avenue. 2. Cohasset Harbor. All waters inside line drawn from northernmost point of Strawberry Point to easternmost point of Quarry Point -- Approx. 268° True. 3. Scituate Harbor. Waters inside line drawn from northernmost point of First Cliff to the flashing red beacon on the eastern tip of the breakwater on Cedar Point -- Approx. 43° True. 4. North River/South River. Waters inside line drawn from northernmost point of Fourth Cliff to the southernmost point of Third Cliff -- Approx. 322° True. 5. Green Harbor, Marshfield. Waters inside line drawn between the southernmost tips of the entrance jetties. 6. Plymouth, Kingston, Duxbury Harbors. All waters inside line drawn from the southwestern point of Saquish Head to the northernmost point of Plymouth Beach -- Approx 218° True. (c) Cape Cod. 1. Sandwich Harbor. Waters inside line drawn between northernmost tips of entrance jetties.

5/1/09 322 CMR - 18 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

4.02: continued

2. Scorton Harbor, Sandwich -- Waters inside line drawn between northernmost tips of entrance jetties. 3. Barnstable Harbor -- Waters inside line drawn from the easternmost tip of Beach Point to the western tip of the eastern shore of Bass Hole -- Approx. 84° True. 4. Sesuit Harbor, Dennis -- Waters inside line drawn between northernmost tips of entrance jetties. 5. Wellfleet Harbor -- Waters inside line drawn from the southernmost tip of Jeremy Point due east (90° True) to the shore of Sunken Meadow, Eastham. 6. Pamet Harbor, Truro -- Waters inside a line drawn between the westernmost tips of the entrance jetties. 7. Provincetown Harbor -- Waters inside a line drawn from the northernmost tip of Long Point 13° True to the tank west of Mayflower Heights. 8. Nauset Harbor -- Waters inside a line drawn from the northernmost point of Nauset Heights to the southeasternmost part of Nauset Beach, Orleans -- Approx. 329° True. 9. Pleasant Bay -- Waters inside line drawn from the southwesternmost point of Nauset Beach, Chatham to the southernmost point of Morris Island -- Approx. 334° True. 10. Stage Harbor, Chatham -- Waters inside line drawn from westernmost point of Harding Beach Point to the southernmost point of Stage Harbor -- Approx. 268° True. 11. Taylors Pond, Chatham -- All waters including Cockle Cove and Bucks Creek. 12. Saquatucket Harbor, Harwich -- Waters inside line drawn southernmost tips of entrance breakwaters. 13. Wychmere Harbor, Harwich -- Same as Saquatucket Harbor. 14. Allen Harbor, Harwich -- Same as Saquatucket Harbor. 15. Herring River, Harwich -- Waters inside line drawn between southernmost tips of entrance breakwaters. 16. Swan Pond River and Swan Pond, Dennis -- All waters. 17. Bass River, Yarmouth-Dennis -- All waters inside line drawn between southernmost tips of entrance jetties. 18. Parker River, Yarmouth -- All waters inside entrance. 19. Hyannis Harbor-Lewis Bay -- Waters inside line drawn from Point Gammon to the flashing green beacon on the Hyannisport breakwater -- Approx. 307° True. 20. Hall Creek-Hyannisport -- All waters inside entrance. 21. East Bay, Barnstable -- Waters within line drawn from the southernmost tip of Long Beach to the southernmost tip of the south breakwater. 22. West Bay, Barnstable -- Waters inside line drawn between southernmost tips of entrance breakwaters. 23. Cotuit Bay-North Bay, Barnstable -- Waters inside line drawn from northwesternmost point of Oyster Harbors Beach (Sampsons Island) to Bluff Point -- Approx. 212° True. 24. Popponesset Bay, Mashpee-Barnstable -- Waters inside line drawn from northernmost point of Thatch Island to Meadow Point -- Approx.289° True 25. Waquoit Bay, Mashpee-Falmouth -- Waters inside line drawn between southernmost tips of entrance jetties. 26. Eel Pond, Falmouth -- Waters inside line drawn between southernmost tips of entrance jetties. 27. Bournes Pond, Falmouth -- All water inside entrance. 28. Green Pond, Falmouth -- Waters inside line drawn between southernmost tips of entrance jetties. 29. Little Pond, Falmouth -- All waters inside entrance. 30. Falmouth Inner Harbor -- Waters inside of line drawn between tips of entrance breakwaters. 31. Salt Pond, Falmouth -- Waters inside entrance. 32. Oyster Pond, Falmouth -- Waters inside entrance. 33. Little Harbor, Falmouth -- Waters inside line drawn from Juniper Point to Nobska Point Light -- Approx. 100° True. 34. Great Harbor, Woods Hole -- Waters inside line drawn from Juniper Point to Penzance Point -- Approx. 287° True.

12/1/93 322 CMR - 19 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

4.02: continued

(d) The Islands. 1. Nantucket Harbor. Waters inside a line drawn between the outermost tips of the entrance jetties. 2. Madaket Harbor, Nantucket. Inside a line drawn from Eel Point -- Approx. 196° True -- to the southwesternmost tip of Madaket. 3. Vineyard Haven Harbor. Waters inside a straight line drawn from the northern tip of the breakwater north of Lagoon Pond Bridge to the northern tip of the Vineyard Haven Breakwater and thence to the west shore of Vineyard Haven Harbor (includes Lagoon Pond). 4. Oak Bluffs. Waters inside line drawn between outermost tips of breakwaters. 5. Hart Haven Harbor-Farm Pond, Oak Bluffs. All waters inside entrance jetties. 6. Sengekontackett Pond, Oak Bluffs-Edgartown. All waters west of Beach Road (includes Trapps Pond). 7. Edgartown Inner Harbor-Katama Bay. Waters inside area bounded as follows - Edgartown Light to Chappaquiddick Point and Norton Point to southwesternmost part of Chappaquiddick Island. 8. Cape Poge Bay, Edgartown. All waters inside line drawn south 180° True from the north side of Cape Poge Gut. 9. Edgartown Great Pond. All waters inside entrance. 10. Tisbury Great Pond. All waters inside entrance. 11. Menemsha Pond. Waters inside line drawn between outermost tips of entrance jetties. 12. James Pond, West Tisbury. All waters inside entrance. 13. Lake Tashmoo, Tisbury. All waters inside line drawn between outermost tips of entrance jetties. (e) Buzzards Bay to Mount Hope Bay, and Cuttyhunk Pond. 1. Buzzards Bay. All waters inside Buzzards Bay north and east of a line drawn from the southernmost point of Gooseberry Neck to Cuttyhunk Light. 2. Westport River. Waters inside a line drawn from Westport Light to the westernmost tip of Horseneck Point - Approx. 331° True. 3. Richmond Pond, Westport. All waters inside entrance. 4. Mount Hope Bay. All waters north of the Massachusetts/Rhode Island boundary line including Mount Hope Bay, Cole's River, Lee's River, and Taunton River, 5. Cuttyhunk Pond. All waters inside entrance. (f) Narragansett Bay Tributaries. 1. Runnins River. All waters within the river. 2. Palmer River. All waters above the Massachusetts/Rhode Island boundary.

(3) Inshore Restricted Waters Regulated Fishery Permit. Except as otherwise provided by 322 CMR 4.02(5), any person who intends to use any net to catch and take fish inside those waters set forth in 322 CMR 4.02(2) or inside any other estuary, embayment, salt pond, tidal creek, river or other similar body of inshore waters shall possess a special regulated fishery permit issued by the Director pursuant to 322 CMR 7.01.

(4) Permit Eligibility. The Director may limit the number of permits issued each year. In determining eligibility to receive special regulated fishery permits, the Director may take into consideration the following criteria: (a) the extent of traditional participation in the inshore net fishery; (b) the degree of economic dependence on the inshore net fishery; and (c) the extent that the nets to be used are compatible with existing fisheries in the area; as well as with the physical environment of the areas to be fished, as evaluated by the Director and; (d) the abundance of target species in the area(s) to be fished and/or the overall stock condition of the resource as determined by the Director.

(5) Exception. (a) Cast Net. A person may, without a special permit, use a cast net for purposes of taking bait.

5/1/09 322 CMR - 20 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

4.02: continued

(b) Small Bait Net. A person may, without a special permit, use a small net of no more than 250 square feet inside those inshore waters listed in 322 CMR 4.02(2) or inside any estuary, embayment, salt pond, tidal creek, river or other similar body of inshore water for the sole purpose of obtaining bait fish for personal use provided all other requirements of law are met.

(6) Conditions. The Director may establish any conditions to the special permit that are necessary for purposes of conservation of the resource or management of the fishery.

(7) Prohibitions. Except as otherwise provided by 322 CMR 4.02(5), it is unlawful to set or use any net inside any inshore water set forth in 322 CMR 4.02(2) or any estuary, embayment, salt pond, tidal creek, river or other similar body of inshore water: (a) to take winter flounder between February 1st and May 31st of any year; or (b) without a special permit issued from the Director or contrary to the terms or conditions of the special permit.

4.04: Fish Weir Buffer Zone

(1) Purpose. Unlike mobile fishing gear that is used in active pursuit of fish or fixed gear such as fish pots or gillnets that can be moved to follow migrating fish, weirs, authorized by M.G.L. c. 130, § 29 and set in coastal waters with permission of appropriate cities or towns, are completely stationary and dependent on fish coming to them. Since fish tend to follow the weir's leader to the head (heart and bowl), they become concentrated and attract other fishermen to the weir where fish are available and more easily caught. This use of the weir's fish-attracting traits by other fishermen; for example, by fishing in the bowl or heart or alongside the leader, can interfere with the weir's operation and/or success and cause conflicts on the water between weir and other fishermen. Consequently, to avoid these conflicts, a reasonable buffer zone within which no person may conduct commercial or recreational fishing, except the weir owner or those with the owner's consent to remove fish and squid from the head(s), has been established.

(2) Definitions. Buffer zone means the area around the fish weir which is circumscribed by buoys attached to weir pole anchors. The zone's boundary around the bowl is defined by imaginary straight lines between the buoys. The zone's extension from the bowl towards shore and parallel to the leader is defined by imaginary straight lines between the buoys on either side of the bowl to buoys attached to leader pole anchors. The shoreward end of the zone is defined by an imaginary straight line between the leader pole anchor buoys 500 feet from the first leader pole at the entrance to the weir's heart. When a weir has two heads, the zone extends the entire distance from the most seaward head to leader pole buoys 500 feet shoreward of the first leader pole at the entrance to the most shoreward head. Commercial Fishing means fishing for purposes of sale, barter or exchange. Fish Weir (also known as pound net or fish trap) means a stationary or fixed maze of nets attached to poles anchored to the sea bed and comprised of the leader (line of poles with net attached) extending from near-shore seaward to the heart which is adjacent to the bowl where fish and squid accumulate. A weir may have two heads each with a heart and bowl. Fishing means to harvest, catch or take or attempt to harvest, catch or take any fish or squid. Recreational Fishing means fishing for purposes of personal or family use by angling or hook and line.

(3) Marking (a) Weirs with one head shall have anchors marked on the surface by buoys tied to the end of anchor lines of the most seaward pole of the bowl and of the poles on both sides of the bowl. The shoreward extension of the zone along and parallel to the leader shall be marked on the surface by buoys tied to the anchor at the end of anchor lines on both sides of the leader 500 feet from the leader pole at the entrance to the heart. (b) Weirs with two heads shall have anchors marked on the surface by buoys tied to the end of the anchor line of the most seaward pole of the most seaward bowl and tied to the ends of anchor lines of the poles on both sides of the two heads' bowls. The shoreward extension of the zone along and parallel to the leader shall be marked on the surface by buoys tied to the anchor at the end of anchor lines on both sides of the leader 500 feet from the leader pole at the entrance to the most shoreward head's heart. (c) All buoys shall be 12 inches diameter, orange, inflated balls marked with the weir number assigned by DMF. A weir with one head shall be marked with five buoys. A weir with two heads shall be marked with seven buoys.

5/1/09 322 CMR - 21 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

4.04: continued

(4) Prohibition. It is prohibited for any person to conduct commercial or recreational fishing within the buffer zone except the weir owner and those with the owner's consent to remove fish and squid from the bowl(s).

(5) Maximum buffer zone width. (a) The maximum distance between the anchor line buoys and the weir poles of the bowl shall be 150 feet. (b) The maximum distance between the anchor line buoys and the weir poles of the leader shall be 200 feet.

4.05: Use of Nets for the Taking of Bluefish (pomatomus Saltatrix)

(1) Management Areas. There is established the following management areas: (a) Northern Area shall be those territorial waters of the Commonwealth north of a straight line extending from the east entrance of the Cape Cod Canal through Race Point Light, Provincetown to the marine boundary of the Commonwealth. (b) Southern Area shall be those territorial waters of the Commonwealth south of a straight line extending from the east entrance of the Cape Cod Canal through Race Point Light, Provincetown to the marine boundary of the Commonwealth, including all waters of Buzzards Bay, Vineyard Sound, and Nantucket Sound.

(2) Authorization. The following permits and conditions shall apply in the following areas: (a) In the northern and southern areas a regulated fishery permit shall be required to harvest, catch or take bluefish by any net as a directed fishing effort. Directed fishing effort is defined as any consecutive 30 day catch of which 50% or more is bluefish. (b) In the southern area a regulated fishery permit shall be required to harvest, catch or take bluefish by means of a gillnet in the southern area and shall be issued only to those individuals who held a valid bluefish-gillnet regulated fishery permit in 1982 as determined by the licensing records of the Division. (c) Dealers may not purchase bluefish from commercial fishermen without written authorization from the Director. (d) Commercial fishermen shipping bluefish to dealers outside the Commonwealth shall be required to become authorized dealers pursuant to 322 CMR 4.05(2)(c). 322 CMR 4.05(2)(d) shall not apply if the out-of-state dealer is licensed and authorized to purchase bluefish in Massachusetts.

(3) Quota and Catch Restriction. (a) For the period January 1, 1995 through December 31, 1995 the quota shall be 686,189 pounds (7.005% of the annual commercial bluefish quota adopted by the Atlantic States Marine Fisheries Commission). (b) For the period January 1 through December 31, it is unlawful for commercial fishermen to land or possess, during a calendar day, more than 5,000 pounds of bluefish. (c) The Director may adjust: 1. the annual quota to correspond to each year's Massachusetts share of the Atlantic States Fisheries Commission annual commercial quota for bluefish; and 2. the landing/possession limit defined in 322 CMR 4.05(3)(b) to prevent overages of the annual quota. (d) An adjustment shall not be effective until it has been approved by the Marine Fisheries Commission and a notice of the adjustment has been filed with the Massachusetts Register. (e) The Director shall consider any written comments on the quota or landing/possession limit adjustments which may be submitted to the Director by the public or a state or federal agency, and based on these comments the Director may alter, amend, or rescind the adjustments pursuant to the procedural requirements of 322 CMR 4.05(3)(d).

(4) Reports. (a) The holder of a bluefish-gillnet regulated fishery permit for the southern area shall file with the Division monthly catch reports on forms to be supplied by the Director. Such reports shall include:

42/1/95 322 CMR - 22 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

4.06: continued

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

(4.08: Fishing and Shellfish Equipment (Reserved))

4.09: Use of Gillnets South and West of Cape Cod

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

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

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

4.10: Use of Sea Scallop Dredges

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

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

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

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

4.11: Use of Gillnets In Massachusetts Bay

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

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

5/1/09 322 CMR - 25 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

4.11: continued

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

Chart 322 CMR 4.11(3)

5/1/09 322 CMR - 26 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

4.11: continued

(4) Exception. 322 CMR 4.11 shall not apply to inshore net areas set forth in 322 CMR 4.02 or to persons permitted to take bluefish in accordance with 322 CMR 4.05.

4.12: Use of Nets for Taking Striped Bass (Morone saxatalis) or Shad (Alosa sapidissima)

(1) It is unlawful to offload onto any vessel within waters under the jurisdiction of Massachusetts or to offload or land onto any pier, wharf or other structure within Massachusetts any striped bass or shad which was harvested, caught or taken by any net.

(2) It is unlawful for any vessel registered under the laws of the state as that term is defined in M.G.L. c. 130, § 1 to harvest, catch or take any striped bass or shad by any net in any waters under the jurisdiction of Massachusetts or in those waters within the United States 200 miles exclusive economic zone bounded in such a way that the inner boundary is a line coterminous with the seaward boundary of each coastal state and the outer boundary is a line drawn in such a manner that each point on it is 200 nautical miles from the baseline from which the territorial sea is measured, as depicted on nautical charts of the National Oceanic and Atmospheric Administration.

(3) It is unlawful for any person, firm, corporation, restaurant, supermarket or other retail or wholesale distributor or fish or fish products to possess any striped bass or shad harvested, caught, or taken by nets except striped bass or shad lawfully harvested, caught, taken or possessed in jurisdictions other than Massachusetts.

4.13: Fixed Gear Marking and Maximum Length Requirements

(1) Purpose. A vast amount of fixed gear is being fished in and outside of Massachusetts waters on fishing grounds which must be shared by fishermen using many different gear types. These fixed gear marking requirements will assist fishermen to see and avoid each other's gear thereby reducing conflicts between fixed and mobile gear fishermen fishing in waters under the jurisdiction of the Commonwealth. Fixed gear marking requirements also help identify entangled or abandoned gear. Maximum length requirements also will help fishermen identify the ends of fixed gear and will facilitate co-existence of fishermen on the same fishing grounds. The gillnet length requirement only pertains to gillnets set in waters under the jurisdiction of the Commonwealth.

(2) Definitions.

East End means that part of the gillnet or pot trawl extending from 01 through 180° magnetic.

Pot Trawls means lobster pot trawls, fish pot trawls, and conch pot trawls and refers to single pots tied together in a series and buoyed at both ends.

Single Pots means individual lobster pots, fish pots, and conch pots.

Twin Orange Markers means a pair of identical orange flag-like strips of material that are clearly visible and attached to the buoy stick or high flyer.

West End means that part of a gillnet or pot trawl extending from 181 through 00° magnetic.

(3) Fixed Gear Marking Requirements. The following minimum requirements apply to the marking of fixed gear within waters under the jurisdiction of the Commonwealth. (a) Gillnets. 1. the east end of a gillnet shall be marked with a high flyer and standard 12-inch tetrahedral corner radar reflector; the west end shall be marked with a high flyer with flag and a standard 12-inch tetrahedral corner radar reflector; 2. the buoy line shall be marked with a four inch green mark midway on the buoy line. 3. all buoys shall be permanently and visibly marked or branded with the permit number of the owner. 4. Exception. Regarding 322 CMR 4.13(3)(a)2., if the color of the rope is the same as or similar to a color code, a white mark may be substituted for that color code.

5/1/09 322 CMR - 27 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

4.13: continued

(b) Pot Trawls and Single Pots. 1. the east end of a pot trawl shall be marked with a double buoy, consisting of any combination of two seven inches x seven inches or five inches x 11 inches buoys and one or more three foot sticks. The west end of a pot trawl shall be marked with a single seven inches x seven inches or five inches x 11 inches buoy with a three foot stick and a flag. Single pots shall each be marked with a single seven inches x seven inches or five inches x 11 inches buoy. Sticks are optional, but if used, shall not have a flag attached. 2. all buoys shall be permanently and visibly marked or branded with the permit number of the owner; 3. fished or authorized to fish in LCMA 1, LCMA 2 or the Outer Cape Cod LCMA as defined in 322 CMR 6.33, the buoy line shall be marked with a four inch red mark midway on the buoy line; 4. fished or authorized to fish in LCMA 3 as defined in 322 CMR 6.33, the buoy line shall be marked with a four inch black mark midway on the buoy line; 5. fished or authorized to fish in the Gulf of Maine, Outer Cape Cod and Southern New England Recreational Lobster Area as defined in 322 CMR 6.33, the buoy line shall be marked with a four inch red mark midway on the buoy line beginning January 1, 2010. 6. Exception, regarding 322 CMR 4.13(3)(b)3., 4. and 5., if the color of the rope is the same as or similar to a color code, a white mark may be substituted for that color code. (c) Boston Harbor Exemption: Inside an imaginary line drawn from Deer Island in Winthrop to Windmill Point in Hull, it shall be lawful to fish with trawls marked on one end with a plastic bottle attached by at least ten feet of ½ inch cotton line or similar light material, provided that said substitute buoy shall be painted with the buoy colors and permit number of the owner. A standard buoy as specified in 322 CMR 4.13(3)(b) shall be attached to the other end of the trawl, except that sticks need not be used. Single pots shall be marked with a standard buoy attached by light line in channel areas. (d) Cape Cod Bay Critical Habitat Restrictions. Lobster pots set in Cape Cod Bay Critical Habitat as defined in 322 CMR 12.10 during January through May 15th that are properly modified with those features required in 322 CMR 12.03 designed to reduce the risk of whale entanglement must be marked as follows: 1. Two-pot trawls or “doubles” shall be marked with a single buoy line. The buoy shall be rigged with a three-foot stick and twin orange markers visibly attached to the top of the buoy stick. 2. All bouys marking either ends of a trawl shall have twin orange markers visibly attached to the buoy stick in addition to the existing marking requirements in 322 CMR 4.13(3)(b). These twin orange markers must be removed from all buoy sticks after May 15th and before June 1st and fishermen may not re-attach them until after November 30th of each year. (e) Prohibition. It shall be unlawful to mark fixed gear as required in 322 CMR 4.13(3)(d) if the lobster pots are not properly rigged with those features required in 322 CMR 12.05 to reduce risk of whale entanglement.

(4) Gillnet Maximum Length: the total continuous length of gillnets shall not exceed 2,400 feet from end to end of an entire net set in waters under the jurisdiction of the Commonwealth.

(5) Pot Trawl Maximum Length: The total length of pot trawls set in waters under the jurisdiction of the Commonwealth shall not exceed 2,000 feet from end to end.

(6) All buoys used to mark all fixed gear shall be permanently and visibly marked or branded with the permit number of the owner.

4.14: Surface Gillnet Restrictions

(1) Tending Requirement. Fishermen setting or fishing surface gillnets shall remain within 200 feet of the net at all times.

(2) Gear Specifications. (a) Floatation. Surface gillnets must have a headrope sufficiently buoyant to float at the surface. If any portion of a gillnet when fished is exposed at the water's surface then the net shall be considered a surface gillnet.

5/1/09 322 CMR - 28 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

4.14: continued

(b) Marking. All buoys shall be marked with reflective tape. The holder's permit number shall be marked on all buoys and at least once every 50 feet on the headrope. Holders may burn or carve their number into floats attached to the headrope and shall measure at least ½ inch in height; alternatively if permit holders opt to mark the net with synthetic durable material, then the numbers shall be clearly visible and measure at least ¼" in height. The net ends shall be marked with bullet-shaped buoys with a size of nine x 16 inches and clearly marked with the letters SGN and the six-digit permit number of the holder.

(3) Net Dimensions. It shall be unlawful to fish more than 300 linear feet of surface gillnets at any one time.

(4) Mesh Size Openings. It shall be unlawful to fish with a surface gillnet with mesh openings larger than 3¾ inches or smaller than 1f inches.

(5) Area and Season Closures. (a) In addition to area and season closures in 322 CMR 4.09(2) and 12.04(1), it is unlawful to fish surface gillnets year-round in Buzzards Bay. (b) Southern New England Inshore Restricted Waters January 1st through May 15th Seasonal Closure. During January through May 15th it is unlawful to fish surface gillnets in any Inshore Restricted Waters as defined by 322 CMR 4.02 that are south and east of Cape Cod and the Islands including Vineyard Sound and Nantucket Sound. This area includes in the County Of Barnstable Pleasant Bay and Nauset Harbor, including all connecting embayments. (c) Gulf of Maine Inshore Restricted Waters January 1st through May 31st Seasonal Closure. During January through May 31st it is unlawful to fish surface gillnets in any Inshore Restricted Waters as defined by 322 CMR 4.02 that are north of Cape Cod to the New Hampshire Border. This area also includes all estuaries and embayments that drain to Cape Cod Bay.

(6) Retained Species. No other species except, menhaden, sea herring, or mackerel may be retained by fishermen using a surface gillnet.

4.15: Use of Cast Nets for Harvest of Bait

(1) Definitions. For purposes of 322 CMR 4.15 the following words have the following meanings: (a) Cast Net means any circular net weighted along the perimeter that is operated by one person throwing the net out over the water and designed to catch bait fish beneath the net as it as it falls through the water. (b) Bait Fish means those species commonly used as bait and includes menhaden, sea herring, sand launce, and mackerel.

(2) Permit. A person may, without a special permit, use a cast net for purposes of taking bait . (3) Prohibitions. It shall be unlawful for: (a) any person to use a cast net for purposes of obtaining bait for sale without possessing a commercial permit. (b) any person to use a cast net for purposes of obtaining bait for sale to other fishermen without possessing a bait dealer permit.

REGULATORY AUTHORITY

322 CMR 4.00: M.G.L. c. 130, §§ 2, 17A, 80 and 104; 16 U.S.C. 1856(a)(2).

5/1/09 322 CMR - 28.1 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

NON-TEXT PAGE

5/1/09 322 CMR - 28.2 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 # 671

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 322 CMR 6.00

CHAPTER TITLE: Regulation of Catches

AGENCY: Division of Marine Fisheries

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. Clarifies that vessels using or possessing surface gillnets shall not be precluded from possessing striped bass under a longstanding regulation that prohibits striped bass possession for vessels “rigged for netting"; rescinds prohibition on disposing of striped bass racks at-sea by for-hire fishing operations; requires Outer Cape lobstermen to affix annual trap tags to traps prior to March 16th.

REGULATORY AUTHORITY: M.G.L. c21A s2, c30A s2 & c130 ss 17A, 38, 100A & 100B

AGENCY CONTACT: Melanie Griffin PHONE: 617.626.1528

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

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

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

PRIOR NOTIFICATION AND/OR APPROVAL - If prior notification to and/or approval of the Governor, Legislature or others was required, list each notification, and/or approval and date, including notice to the Local Government Advisory Commission. Marine Fisheries Advisory Commission...03/12/2009 Commissioner, Department of Fish & Game...03/18/2009

Date of public hearing or comment period: 01/26&27/2009

No fiscal effect:

Allowance of striped bass rack disposal at-sea likely will lead to faster turn-around time between trips.

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

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

SIGNATURE: SIGNATURE ON FILE DATE: Mar 18 2009

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1129 DATE: 05/01/2009

EFFECTIVE DATE: 05/01/2009

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: 41 - 42.2 41 - 42.2 58.3, 58.4 58.3, 58.4

04/15/2009 cm

6.07: continued

(3) Regulated Fishery Permit. The following special permit shall be required: (a) A commercial fisherman shall have issued to him or her by the Director a regulated fishery permit for striped bass, in addition to any other permits required by the Massachusetts General Laws, in the following categories: 1. resident; and 2. non-resident. (b) A striped bass regulated fishery permit authorizes the named individual and/or a commercial fishing vessel to engage in the harvest, possession, and landing of striped bass for commercial purposes in compliance with 322 CMR 6.07, 7.01 and 7.04. (c) A striped bass regulated fishery permit shall be valid only during the striped bass commercial season as provided for in 322 CMR 6.07(4)(b). (d) A striped bass regulated fishery permit shall be carried by the holder at all times when catching, taking, possessing or selling striped bass, and shall be displayed forthwith on demand of any Environmental Police officer or other official authorized to enforce 322 CMR 6.07.

(4) Commercial Management Measures. For purposes of conservation and management of the resource the following measures shall apply to commercial fishermen who harvest, catch or take, and/or sell, barter or exchange, or attempt to sell, barter or exchange any striped bass: (a) Massachusetts commercial striped bass harvest will be limited annually by the commercial quota less any amount deducted to compensate for the previous year’s overage. (b) Commercial fishermen may fish for striped bass only during the commercial season and open fishing days within said season beginning on July 12th and ending upon the reaching of the commercial quota. (c) Commercial fishermen engaged in commercial fishing for striped bass may not possess striped bass less than 34 inches in total length. If the number of striped bass aboard a vessel is greater than twice the number of fishermen, then all striped bass in possession must be greater than 34 inches in total length, and all fishermen must be commercially permitted as described in 322 CMR 6.07(3). Striped bass less than 34 inches in total length shall be returned immediately to the waters from which taken. (d) Commercial fishermen engaged in striped bass fishing may not possess or land more than 30 striped bass per day on Tuesdays, Wednesdays, and Thursdays and five striped bass per day on Sundays during the open fishing season. This limit applies to any individual fishermen fishing from shore or to any vessel regardless of the number of individual licensed commercial fishermen aboard. (e) All striped bass which are the subject of a first sale shall be in the round, with the head, body and tail fully intact. (f) Except as provided for in 322 CMR 6.07(4)(g), no striped bass may be filleted or processed in any manner except by evisceration. In all prosecutions or non-criminal citations issued, mutilation of a striped bass which interferes with or affects a proper or adequate measurement of the fish shall be prima facie evidence that the striped bass was or is less than 34 inches in total length. (g) For-hire vessels permitted under the authority of 322 CMR 7.01(4) may fillet or process legal sized striped bass for their recreational customers at sea provided that: 1. not more than four fillets taken from legal striped bass, minimum of 28 inches total length, are in possession for each customer of that trip representing the equivalent of two fish per customer; the skin must be left on the fillet; and 2. the total number of striped bass onboard the fishing vessel does not exceed twice the number of persons. (h) Commercial fishermen shall accurately report to the Director on forms supplied by the Division the catch by month, location and size of all striped bass harvested during the open season. Said catch report shall be filed no later than November 30th of each year, shall be held strictly confidential by the Director and shall be signed under the pains and penalties of perjury. Failure to complete and submit an accurate form prior to November 30th or falsification of any such form may result in a non-renewal of the striped bass special permit.

5/1/09 322 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. 322 CMR: DIVISION OF MARINE FISHERIES

6.07: continued

(i) Commercial fishermen shall sell striped bass only to dealers duly authorized by the Director to purchase striped bass. (j) Non-resident commercial fishermen shall sell striped bass only to duly authorized dealers. (k) Commercial fishermen shall sell striped bass only during the commercial season and only during the open fishing days within the commercial season. (l) Commercial fishermen may harvest, catch, or take striped bass by rod-and-reel or handline only. (m) Commercial fishermen engaged in commercial fishing for striped bass may not fish aboard the same vessel at the same time as recreational fishermen.

(5) Recreational Management Measures. For purposes of conservation and management of the resource the following measures shall apply to recreational fishermen who harvest, catch, take or possess or attempt to harvest, catch, take or possess any striped bass: (a) All striped bass shall be no less than 28 inches in total length. Striped bass less 28 inches in total length shall be released immediately to the waters from which taken. (b) Recreational fishermen may retain no more than: 1. two striped bass per day; and 2. may possess no more than two striped bass at any one time. (c) Recreational fishermen may not sell, barter or exchange any striped bass. (d) Recreational fishermen may not discard dead striped bass that are 28 inches or greater in total length. (e) To prohibit the practice of high-grading as defined in 322 CMR 6.07(2) recreational fishermen may not retain legal-sized striped bass and release said fish in favor of another larger legal-sized striped bass captured subsequently. Any legal-sized fish not immediately released into the water and held by stringer, live-well or another means shall be considered intent to high-grade.

(6) Dealer Management Measures. For purposes of conservation and management of the resource the following measures shall apply to any dealer who possesses, sells or offers to sell any striped bass: (a) Dealers shall not purchase striped bass from commercial fishermen without written authorization from the Director. (b) Dealers shall report all striped bass purchases from commercial fishermen based on schedules and on forms to be provided by the Division. (c) Dealers may not purchase or receive from a commercial fisherman any striped bass which is less than 34 inches in total length. (d) Dealers may not purchase, receive or possess from a commercial fisherman any striped bass which has been mutilated in such a way as to interfere with or affect a proper or adequate measurement of the fish. (e) Dealers may not purchase or receive from a commercial fisherman any striped bass during the no-fishing days within the commercial fishing season. (f) Dealers may purchase and offer for sale striped bass imported into Massachusetts from states where they have been lawfully landed provided that: 1. all striped bass imported into Massachusetts shall be whole and individually tagged with state of origin listed. If fish are re-sold whole, tags shall remain attached to the fish. If fish are filleted after importation, all containers of fillets shall be documented describing fish origin, name of the Massachusetts dealer that processed the fish, quantity, and species. Original tags shall be maintained on the dealer's premises for 30 days after processing. 2. all striped bass imported into Massachusetts shall meet or exceed the minimum size in place for the state of origin, except that during the period that the Massachusetts commercial fishery is open plus five consecutive days after the season is closed, all striped bass must meet or exceed the Massachusetts minimum size as set forth in 322 CMR 6.07(4).

(7) Prohibitions. It shall be unlawful for: (a) a recreational fisherman to retain more than two striped bass per day; (b) a recreational fisherman to possess more than two striped bass at any one time;

5/20/05 322 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. 322 CMR: DIVISION OF MARINE FISHERIES

6.07: continued

(c) a recreational fisherman to sell, barter or exchange or offer to sell, barter or exchange any striped bass; (d) a recreational fisherman to take or possess any striped bass less than 28 inches in total length; (e) a recreational fisherman to mutilate any striped bass in such a way as to interfere with or affect a proper and adequate measurement of the fish; such mutilation shall be prima facie evidence of a violation of 322 CMR 6.07(7); (f) a recreational fishermen to discard dead striped bass that are 28 inches or greater in total length. (g) a recreational fisherman to “high-grade” striped bass or to keep striped bass alive in the water by attaching a line or chain to the fish or placing the fish in a live-well or holding car. (h) a commercial fisherman to sell striped bass to other than an authorized dealer. (i) a non-resident commercial fisherman to possess more than two striped bass upon leaving Massachusetts; (j) a commercial fisherman to catch, take, possess, sell, barter, exchange or attempt to sell, barter or exchange any striped bass without having issued to him or her a valid permit to do so; (k) a commercial fisherman to catch, take, possess, sell, barter, exchange or attempt to catch, take, possess, sell, barter or exchange any striped bass for commercial purposes once the commercial quota is reached and the commercial fishery is closed, or to possess more than two striped bass during the no-fishing days; (l) a commercial fisherman to sell, barter, exchange or attempt to sell, barter, exchange any striped bass during the no-fishing days within the commercial season; (m) a commercial fisherman to catch, take, possess, sell, barter, exchange or attempt to sell, barter or exchange any striped bass less than 34 inches in total length; (n) any commercial fisherman to take or possess more than 30 striped bass during a single calendar day during the open commercial season on Tuesdays, Wednesdays, and Thursdays, and five fish on Sundays; (o) commercial fisherman to fish aboard any vessel with more than 30 striped bass aboard during the open commercial fishing season on Tuesdays, Wednesdays, and Thursdays and five fish on Sundays regardless of the number of licensed commercial anglers aboard; (p) a commercial fisherman to fillet or process any striped bass other than by evisceration; (q) a commercial fisherman to mutilate any striped bass in such a way as to interfere with or affect a proper or adequate measurement of the fish; (r) a commercial fisherman to participate in the first sale of any striped bass which is not in the round, or which has had the head or tail removed; (s) a commercial fisherman to fail to file a complete and accurate catch report by November 30th of each year, or falsify any such catch report; (t) a wholesale or retail dealer to purchase or receive during a first sale any striped bass which has been mutilated in such a way as to interfere with or affect a proper or adequate measurement of the fish; (u) a wholesale or retail dealer to purchase or receive from a commercial fisherman any striped bass which is less than 34 inches in total length; (v) a wholesale or retail dealer to purchase or receive from a commercial fisherman any striped bass after the open commercial season has closed. (w) any dealer to fail to report all striped bass purchases from commercial fishermen as prescribed by the Director. (x) any commercial fishermen to harvest, catch, or take striped bass by longlines or tub- trawls; (y) any vessel rigged for otter trawling, hauling sink gillnets, purse seines, or possessing baited or unbaited longline or tub-trawl gear to possess striped bass; (z) any wholesale or retail dealer to possess, sell, barter or exchange or offer to sell, barter or exchange any striped bass imported into Massachusetts unless such fish so imported is tagged as specified by 322 CMR 6.07(6). (aa) commercial fishermen to discard dead striped bass that are 34 inches or greater in total length. (bb) any person to receive during a first sale any striped bass unless permitted as a wholesale or retail dealer pursuant to 322 CMR 7.01. All persons involved in the sale of striped bass beyond the first sale, shall furnish upon request of the Director or the Environmental Police purchase receipts documenting the sale of the fish.

5/1/09 322 CMR - 42.1 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

6.07: continued

(8) Penalties. Violations of any provision of 322 CMR 6.07 shall result in: (a) revocation of the special permit, wholesale dealer permit, retail dealer permit, or authorization to purchase striped bass; (b) confiscation of all striped bass caught, possessed or sold in violation of 322 CMR 6.07; (c) seizure and forfeiture of all property used in violation of 322 CMR 6.07; (d) a fine not less than $100 nor more than $1,000; or (e) a combination of 322 CMR 6.07(8)(a) through (d).

6.08: Surf Clam and Ocean Quahog Fisheries

(1) Definitions. For the purposes of 322 CMR 6.08 the following words shall have the following meanings:

Batch means all shellfish in each separate container.

5/20/05 322 CMR - 42.2 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

6.31: Trap Tags

(1) Lobster Traps. (a) It shall be unlawful for any commercial fisherman licensed by the Commonwealth to fish lobster traps: 1. In any waters under the jurisdiction of the Commonwealth without a valid state waters lobster trap tag permanently attached to the trap bridge or central cross-member. 2. In the EEZ portions of Lobster Conservation Management Areas 1, 2 and Outer Cape Cod as designated by the Atlantic States Marine Fisheries Commission Lobster Management Plan without a valid state waters trap tag or a DMF - issued EEZ lobster trap tag permanently attached to the trap bridge or central cross-member. (b) If the limit established by the ASMFC Plan in any of the management areas exceeds the limit established by 322 CMR 6.13, additional EEZ tags may be purchased by federal permit holders to reach the overall limit established by the plan for each area. (c) Fishermen licensed to fish in Lobster Conservation Management Area 3 shall be subject to trap limits and tagging requirements established by the ASMFC Plan. (d) Official commercial lobster trap tags shall be purchased by permit holders directly from a manufacturer selected by the Division according to established competitive bidding procedures. New tags for the following year will be available after December 1st, and must be purchased and installed in the traps before 1. March 16th of the following year for traps fished in the Outer Cape Cod Lobster Conservation Management Area; and 2. June 1st of the following year for traps fished in Lobster Conservation Management Areas 1, 2 and 3. (e) All Coastal Lobster and Offshore Lobster Permit holders must declare the ASMFC Management Area(s) in which they will during that license year when renewal forms are submitted. Those fishing in more than one area as designated on their permits shall observe the most restrictive of different regulations for the areas declared as established by 322 CMR and the ASMFC Lobster Management Plan. Changes in area designations may only be made during the annual renewal period. (f) In any year, the maximum number of state lobster trap tags authorized for direct purchase by each permit holder shall be the trap limit set by 322 CMR 6.13 plus an additional 10% to cover trap loss. Permit holders may purchase as many tags as needed up to the maximum. Under no circumstance shall the number of traps fished at any time exceed the established trap limit.

(2) Fish and Conch Pots. (a) It shall be unlawful to fish in waters under the jurisdiction of the Commonwealth with any fish or conch pot without an official state trap tag permanently attached to the bridge or central cross-member of the trap. (b) Official fish and conch pot tags shall be purchased directly from a manufacturer selected by the Division according to competitive bidding procedures. New tags for the following year will be available after December 1st and must be purchased and installed by before May 1st, of the following year. (c) In any year the maximum number of state fish or conch pot tags authorized for direct purchase by each permit holder shall be the trap limit established by 322 CMR 6.15 plus 10% to cover trap loss. Permit holders may purchase as many tags as needed up to the maximum for the authorized species plus 10%. Under no circumstances shall the number of traps fished at any time exceed the established trap limit.

(3) Replacement. (a) In the event of trap or tag losses over and above the maximum limit established by 322 CMR 6.30(1)(h), replacement tags shall be issued to the permit holder by the Division according to the following procedure: 1. Gear loss shall be reported to the Division and the Division of Environmental Law Enforcement on an official form, signed by the permit holder under the pains and penalties of perjury; 2. The form shall be reviewed by both Divisions and a decision reached on the number of replacement tags to be issued, if any; 3. If a decision cannot be reached, a hearing will be scheduled in a Division office to examine evidence and reach a conclusion on the validity of the claim.

5/1/09 322 CMR - 58.3 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. 322 CMR: DIVISION OF MARINE FISHERIES

6.31: continued

(4) Prohibitions. (a) It shall be unlawful for any person to set or fish a lobster, fish or conch trap in waters under the jurisdiction of the Commonwealth or the EEZ portions of Lobster Conservation Management Areas 1, 2 and Outer Cape Cod or have a lobster trap in possession or under control while on said waters unless said trap is tagged with an official Massachusetts trap tag issued to that person valid for the current year. (b) It shall be a violation of 322 CMR 6.00 to file a false claim of trap or tag loss for purposes of obtaining additional tags. (c) It shall be a violation of 322 CMR 6.00 to alter or deface a tag, or tamper with the tag(s) of another permit holder. (d) Administrative penalty. A person found guilty of violating 322 CMR 6.31 by a court of law or pursuant to an adjudicatory proceeding shall have his or her permit suspended and shall be required to remove all gear from waters under the jurisdiction of the Commonwealth for a specified period of time.

6.32: Frozen Shell-on Lobster Parts

(1) Definitions. For purposes of 322 CMR 6.32 the following words shall have the following meanings: (a) Carapace means the upper body of a lobster excluding the tail and claws. (b) Mutilated means a lobster that has been altered in any way that affects its measurement.

(2) Processing Requirements. The processing and possession by wholesale dealers of frozen shell-on lobster parts is permitted only for distribution outside Massachusetts pursuant to M.G.L. c. 130, § 44 and c. 94, § 77G and subject to the following restrictions: (a) To conduct frozen shell-on lobster part processing: 1. The processor shall be in possession of or obtain a wholesale dealer permit; 2. The Department of Public Health (DPH) shall inspect and approve in writing frozen shell-on lobster part processing; 3. Upon receipt of DPH approval, the Director shall endorse the Wholesale Dealer Permit to include frozen shell-on lobster part processing. (b) All lobsters at the approved facility shall meet the minimum size requirement established by M.G.L. c. 130, § 44. (c) All processing, freezing, packaging and labeling shall take place within the approved facility at the address appearing on the permit. (d) All packages of frozen lobster parts shall be labeled with a description of the product and the license number and address of the facility where they are processed and the date they are processed. (e) Packaged and labeled frozen product may be stored on the premises or off-site at a facility approved by the Department of Public Health, pending sale outside the Commonwealth, provided that accurate records of inventory and disposition are kept and made available for inspection by Environmental Police Officers and Division of Food and Drug Inspectors.

(3) Prohibitions. (a) It shall be unlawful for any person or business to process frozen shell-on lobster parts in Massachusetts for distribution outside the Commonwealth unless the Division has endorsed frozen shell-on lobster part processing as an approved activity on the wholesale dealer permit. (b) It shall be unlawful for any person to offer shell-on lobster tails or other shell-on body parts of a mutilated lobster for sale within the Commonwealth. (c) It shall be a violation of 322 CMR 6.32 to: 1. Utilize any lobster for frozen shell-on lobster part processing, unless said lobster, before processing, meet the minimum legal size requirements established in M.G.L. c. 130, § 44, and; 2. To possess any lobster below the minimum size in the process area or freezers or at any location associated with the facility listed on the permit. (d) It shall be a violation of 322 CMR 6.32 to freeze or offer for sale any shell-on parts of a lobster other than the tail and carapace. (e) Use of other than live lobster for frozen shell-on lobster part processing is prohibited.

5/1/09 322 CMR - 58.4 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 # 672

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 322 CMR 7.00

CHAPTER TITLE: Permits

AGENCY: Division of Marine Fisheries

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. Establishes control date for spiny dogfish fishery; creates new permits for surface gillnetting and purse seining; and clarifies that individuals may apply for Coastal Access Permits (CAPs) exclusively for purse seining in exemption of moratorium on general CAPs and that CAPs exclusively for purse seining may be exempt from maximum vessel length limit of 72'.

REGULATORY AUTHORITY: M.G.L. c21A s2, c30A s2 & c130 ss 17A, 33 & 80

AGENCY CONTACT: Melanie Griffin PHONE: 617.626.1528

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

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

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

PRIOR NOTIFICATION AND/OR APPROVAL - If prior notification to and/or approval of the Governor, Legislature or others was required, list each notification, and/or approval and date, including notice to the Local Government Advisory Commission. Marine Fisheries Advisory Commission...03/12/2009 Commissioner, Department of Fish & Game...03/18/2009

Date of public hearing or comment period: 01/26&27/2009

For the first five years:

No fiscal effect:

Requires annual reporting by sink and surface gillnet permit holders.

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

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

SIGNATURE: SIGNATURE ON FILE DATE: Mar 18 2009

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1129 DATE: 05/01/2009

EFFECTIVE DATE: 05/01/2009

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: 61, 62 61 - 62.2 67 - 68.4 67 - 68.4

04/15/2009 cm

7.01: continued

(a) Regulated Fishery. Authorizes the named individual and/or a commercial fishing vessel to engage in the harvest, possession and landing of Fish or shellfish from a fishery regulated pursuant to M.G.L. c. 130, § 17A, to be issued in addition to those permits required pursuant to 322 CMR 7.01(2). 1. State Waters Multispecies Groundfish Endorsement. Authorizes only the named individual and/or vessel to harvest and possess for commercial purposes from waters under the jurisdiction of the Commonwealth the following species: cod, haddock, pollock, redfish, white hake, yellowtail flounder, winter flounder, windowpane flounder, American plaice, witch flounder and monkfish. 2. State Waters Multispecies Groundfish Endorsement Eligibility. The Director may issue a single State Waters Multispecies Groundfish Endorsement to permit holders who held a state-issued commercial permit on November 4, 2004, renewed their permit in 2005, and are not authorized by a federal permit to take Multispecies Groundfish or monkfish. The Multi species Groundfish Endorsement may only be issued as an endorsement on the state-issued commercial boat and lobster permits, but not the seasonal lobster permit. 3. Exceptions. a. Limited Harvest of Multispecies Groundfish in State Waters. Notwithstanding permit prohibitions on the take of finfish described in 322 CMR, any state permitted commercial fisherman who does not hold a State Waters Multispecies Groundfish Endorsement may take, possess and sell up to 75-pounds of cod per vessel per 24- hour day harvested from waters under the jurisdiction of the commonwealth. b. Eligibility for Permit Holders Who Have Surrendered Their Federal Permits. Notwithstanding permit prohibitions on eligibility described in 322 CMR 7.01(4)(a), the Director may issue a single State Waters Multispecies Groundfish Endorsement to a state-issued commercial permit holder for a vessel that has been authorized by a federal permit to take Multispecies groundfish or monkfish if the permit holder has surrendered said federal permit to NOAA Fisheries. 4. Renewals. In 2007 and beyond, the Director may issue a State Waters Multispecies Groundfish Endorsement only to those commercial fishermen who received a State Waters Multispecies Groundfish Endorsement in 2006 and renew their permits in accordance with 322 CMR 7.00. (b) Non-commercial Lobster. The following requirements apply to the non-commercial taking of lobsters. 1. Pot. Issued to a named individual authorizing the harvest, possession and landing of lobsters by means of pots for non-commercial purposes by that individual or by members of that individual's immediate family residing in the same household. 2. Diving. Issued to a named individual authorizing the harvest, possession and landing of lobsters by diving for non-commercial purposes by that individual only. A noncommercial lobster permit may not be carried on board any vessel fishing under authority of an offshore lobster permit. (c) Striped Bass. Authorizes only the named individual to harvest and possess striped bass for either commercial or non-commercial purposes in accordance with 322 CMR 6.07. (d) Special Proiect. Authorizes only the named individual to engage in a specified marine fishery project including but not limited to aquaculture, mariculture, scientific, environmental or biological collection and study, assessments or experimentation, collection and possession for educational purposes, shellfish relay and shellfish propagation. (e) For-hire Vessels. Authorizes the named individual or corporation's vessel to carry paying customers for purposes of fishing. Individuals or corporations shall obtain a for-hire permit based on the number of paying customers aboard: 1. Head Boat. Issued to vessels carrying seven or more paying customers. 2. Charter Boat. Issued to vessels carrying three to six paying customers 3. Guide Boat. Issued to vessels carrying up to two paying customers. (f) Anadromous Fish Passageway. Authorizes the named individual to carry out activities related to the construction, reconstruction, repair, or alteration of any anadromous fish passageway as defined in M.G.L. c. 130, §§ 1 and 19. (g) Gillnets. A regulated fishery permit shall be required to set, fish, or harvest any species by means of a gillnet.

5/1/09 322 CMR - 61 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

7.01: continued

1. Sink Gillnet Permit. Authorizes only the named individual and/or vessel to use a gillnet, anchored or otherwise, that is designed to be, capable of being, or is fished on or near the bottom in the lower third of the water column. Sink gillnet permits are limited to renewals only and are not transferable. Holders of sink gillnet permits may fish surface gillnets under the authority of their sink gillnet permit. 2. Surface Gillnet Permit. Authorizes only the named individual and/or vessel to use a gillnet, anchored, drifting or otherwise, that is designed to be, capable of being, or is fished in the upper b of the water column. Exemptions: No permit shall be required for fishermen using a surface gillnet less than 250 square feet. 3. Catch Reports. All sink gillnet and surface gillnet permit holders shall report their catch to the Director on forms supplied by the Division.

(5) Application. Applicants for a permit shall comply with the following requirements: (a) Forms. Applications for a permit shall be on forms supplied by the Director. A separate application shall be made for each individual, boat, vessel, plant, firm, establishment, corporation, partnership or other business entity. (b) Information. An application for a permit required by M.G.L. c. 130 and 322 CMR 7.01 shall contain and include the following: 1. the name and address of the applicant; 2. the date of birth of the applicant; 3. the last four digits of either the applicant's social security number or federal identification number; 4. for applicants for a commercial fishermen permit endorsed for shellfish, the applicant's Massachusetts driver's license number or Registry of Motor Vehicles identification number; 5. the name of the commercial fishing vessel; 6. the required length of the fishing vessel; 7. the Massachusetts vessel registration number; 8. the homeport of the commercial fishing vessel; and 9. the true and accurate signature of the applicant; 10. any other information sufficient to fully identify the particular activity to be undertaken and the intended use for the permit. (c) Conditions. The following permit applicants shall comply with the following conditions: 1. Master digger permit applicants shall submit with their application a valid bond as required by 322 CMR 7.02(2)(b); 2. Dealer permit applicants shall submit with their application an approved health inspection certificate validly issued by the Department of Public Health pursuant to a health inspection of the applicant's premises; 3. Seasonal lobster permit applicants shall submit an affidavit supplied by the Director signed under the pains and penalties of perjury attesting to their full-time student status; and 4. Shellfish and seaworm permit applicants shall, for a bay scallop endorsement, submit a certified sanitary inspection approved by the Massachusetts Department of Public Health. (d) Multiple Applications. A separate application shall be made for each individual, boat, vessel, plant, firm, establishment, corporation, partnership or other business entity. (e) Signature. Each applicant shall sign the application and the permit with his or her true and correct name. Except as otherwise provided for in 322 CMR 7.01(5)(f), whenever the permit is for a boat, vessel, or business entity, the permit may be signed with the true and correct name of the owner of the boat or vessel or a duly authorized officer of the business entity including the true and correct business title of the duly authorized officer. (f) Exception. Coastal lobster permits shall be issued to and renewed by a named individual only. The permit application and the permit itself shall be signed by a named individual who shall be the holder. In no event may a coastal lobster permit be issued to or renewed by a business entity or an officer of a business entity. (g) Effect of Signature. The applicant's signature shall constitute: 1. a declaration under the pains and penalties of perjury that all information contained in the application is true and accurate to the best belief of the applicant;

5/1/09 322 CMR - 62 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

7.01: continued

2. a statement that the applicant and all individuals conducting the activity under authority of the permit have read and are familiar with all applicable statutes contained in M.G.L. c. 130, all applicable regulations contained in 322 CMR and agree to fully comply therewith; and 3. an agreement to display all fish in possession of the applicant and all individuals conducting the activity under authority of the permit to any officer authorized to enforce the marine fishery laws of the Commonwealth. (h) Fees. All fees required in accordance with M.G.L. c. 130, § 83 shall accompany each application in the form of checks or money orders made payable to the Commonwealth of Massachusetts. Cash may be used only when the application is made in person. In the event an applicant's personal check is not honored by the payor or bank, the permit issued to such applicant shall be void until such time as the required fee in the form of a bank check, certified check or postal money order is received by the Director. Any activity conducted by the applicant under the purported authority of said permit five or more days subsequent to the mailing to the applicant of a notice of the dishonored check shall constitute a violation of the applicable provisions of M.G.L. c. 130 and 322 CMR.

5/1/09 322 CMR - 62.1 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

NON-TEXT PAGE

5/1/09 322 CMR - 62.2 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

7.03: continued

(e) for allocation transfers to involve the transfer of traps outside of the specific LCMA for which the trap allocation is designated; (f) to transfer a commercial lobster permit from one LCMA to another LCMA unless the permit is transferred to an LCMA under management of an approved effort control plan for which the permit holder has received an LCMA-specific trap allocation.

7.04: Commercial Fisheries Control Date

(1) Purpose. The purpose of 322 CMR 7.04 is to provide the Director and Marine Fisheries Advisory Commission with time to develop further access controls in certain commercial fisheries, including moratoria and limited entry, without the Director and Commission having to deal with large numbers of applicants attempting to enter the fisheries before access is restricted or denied. The implementation of the control date on an emergency basis is necessary to prevent a surge of applicants for licenses into fisheries for which the Director and the Commission may decide to restrict access in the future.

(2) Control Dates. (a) Mobile Gear. After April 2, 1992, any person issued a commercial fisherman's permit to conduct any fishery using gillnets or trammel nets, or any mobile or encircling fishing gear or nets which are towed, hauled, or dragged through the water for the harvest of fish including but not limited to otter trawls, beam trawls, pair trawls, mid-water trawls, Scottish seines, Danish seines, pair seins, or sea scallop dredges, excluding purse seines and shellfish dredges, within waters under the jurisdiction of the Commonwealth, will not be assured of future access to or participation in these fisheries if a management regime is developed and implemented that limits the number of participants in these fisheries. (b) Hook Gear. After March 6, 2008, any person issued a new commercial fisherman’s permit to conduct any fishery using hook-and-line, longline, or handgear within waters under the jurisdiction of the Commonwealth, excluding the commercial striped bass fishery, may be subject to eligibility criteria for determining levels of future access to and allowable harvest of these fisheries. Future entry into such fisheries may be based on historic harvest levels of a vessel, person, or other criteria. (c) Spiny Dogfish. After November 6, 2008, any person issued a new regulated fishery endorsement for spiny dogfish may be subject to eligibility criteria for determining levels of future access to and allowable harvest of this fishery. Future entry into such fisheries may be based on historic harvest levels of the permit holder.

7.05: Coastal Access Permit (CAP)

(1) The purpose of 322 CMR 7.00 is to help prevent: (a) uncontrolled, opportunistic, new mobile gear fishing effort from developing in state waters by commercial fishermen not traditionally dependent on state waters' fisheries, and (b) a shift of mobile gear effort from federal to state waters in response to the 50% fishing effort reduction scheduled by the New England Fishery Management Council to occur by 1998 and described in the Council's Amendment #5 to the Northeast Multispecies Fishery Management Plan. Furthermore, its purpose is to establish the basis for developing a more comprehensive limited access program involving additional conservation measures and CAP transfers.

(2) Definitions.

Eligibility Period means January 1, 1989 through the April 2, 1992 commercial fisheries control date described in 322 CMR 7.04.

Mobile Gear means any movable fishing gear or nets which are set, towed, hauled, or dragged through the water for the harvest of fish, squid, and shellfish including but not limited to otter trawls, beam trawls, bottom and mid-water pair trawls, Scottish seines, Danish seines, pair seines, purse seines, and sea scallop dredges. Shellfishermen authorized by city or town regulations to take shellfish under authority of a local permit and fishing only within those city or town waters are exempt from 322 CMR 7.05: Mobile Gear.

5/1/09 322 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. 322 CMR: DIVISION OF MARINE FISHERIES

7.05: continued

Vessel Overall Length means the horizontal distance between the outboard side of the foremost part of the stem and the outboard side of the aftermost part of the stern, excluding rudders, outboard motor brackets, and other similar fittings and attachments.

(3) Permit Holders. All mobile gear fishermen fishing in waters under the jurisdiction of the Commonwealth shall obtain a coastal access regulated fishery permit pursuant to 322 CMR 7.01(4).

(4) Permit Endorsements. The coastal access permit may be endorsed by the Director allowing the permit holder to participate in fisheries described in 322 CMR 3.04(2), 8.08(3), (4), (5) and (6).

(5) Prohibition. It is unlawful for mobile gear fishermen to fish in waters under the jurisdiction of the Commonwealth without a coastal access permit. The coastal access permit shall be carried by the holder at all times and shall be displayed forthwith on demand of any Environmental Police officer or other official authorized to enforce regulations in 322 CMR.

(6) Renewals. The Director shall renew all limited entry permits for which transfers are authorized by 322 CMR 7.06, in accordance with 322 CMR 7.01, provided that renewal applications and all required catch reports are received by February 28th of each year, and the renewal process, including late renewals approved for sufficient cause, is completed prior to June 30th of each year.

(7) Forfeiture. Beginning January 1,2000, all limited entry permits subject to 322 CMR 7.06 which are not renewed in accordance with 322 CMR 7.06(2) shall be forfeited to the Division. All forfeited permits shall be retired.

(8) Moratorium. A Coastal Access Perrnit will be issued only to mobile gear fishermen who renew their permits in accordance with 322 CMR 7.05(6). Purse seiners fishing for sea herring, menhaden, may apply for a Coastal Access permit exclusively for purse seining and are exempted from the moratorium.

(9) Eligibility Criteria. (Reserved)

(10) Appeals Process. (Reserved)

(11) Coasta] Access Permit (CAP) Transfer Criteria. (Reserved)

(12) Vessel Replacement (a) Guidelines. A Coastal Access Permit holder may change the authorized vessel listed on the permit provided that the replacement vessel does not exceed the horsepower of the vessel being replaced by more than 20%, and length overall, gross registered or net tonnage does not exceed those of the vessel being replaced by more than 10%. Vessel length overall shall not exceed that specified in 322 CMR 7.05(13). Changes may occur only once during any five year period. The permit holder must document his/her ownership of the authorized vessel. (b) Exception. Coastal Access Permit holders authorized to fish a vessel that measures 40 feet or less in length overall may appeal to the Director for an exemption to exceed the allowed increases in length and/or tonnage up to 20%. The Director may not grant the appeal if the vessel being replaced remains in a federal fishery using mobile gear.

(13) Vessel Length Limit. (a) Limit. Beginning in 1995 the issuance of a Coastal Access Permit shall be limited to those fishermen who held a Coastal Access Permit in 1994 and with vessels equal to or less than 72 feet in overall length. For those vessels determined by the Director to need verification of overall length, written certification of overall length shall be obtained by the vessel owner based on the vessel's construction plans or by a marine surveyor certified by the National Association of Marine Surveyors or accredited by the Society of American Marine Surveyors, and shall be submitted to the Director.

5/1/09 322 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. 322 CMR: DIVISION OF MARINE FISHERIES

7.05: continued

(b) Exceptions. 1. The maximum vessel length limit of 72 feet in overall length may be waived for vessels that were built in or prior to the year 1945 provided the mobile gear fisherman held a 1994 Coastal Access Permit for that vessel, and provided further that the mobile gear fisherman had not previously exercised his right to replace the vessel listed on his 1994 Coastal Access Permit. Replacement vessels shall meet the length and performance requirements effective at the time of transfer. 2. The maximum vessel length limit of 72 feet in overall length may be waived for permit holders who apply for a Coastal Access Permit exclusively for purse seining provided that the permit holder and vessel legally fished with a purse seine for menhaden, herring or mackerel in Massachusetts waters since 1995. Replacement vessels shall meet the 72 foot maximum vessel length requirement.

7.06: Transfer of Limited Entry Permits

(1) Purpose. Pursuant to St. 1998, c. 184, all permits authorized by St. 1998, c. 184 that are limited in distribution to renewals only, and not otherwise transferable pursuant to other subsections, including, but not limited to Regulated Fishery Permits for gillnetting, surf clam, ocean quahog, Coastal Access Permit and fluke may be transferred subject to 322 CMR 7.06.

(2) Renewals. The Director shall renew all limited entry permits for which transfers are authorized by 322 CMR 7.06, in accordance with 322 CMR 7.01, provided that renewal applications and all required catch reports are received by February 28th of each year, and the renewal process, including late renewals approved for sufficient cause, is completed prior to December 31st of each year.

(3) Forfeiture. Beginning January 1, 2000, all limited entry permits subject to 322 CMR 7.06 which are not renewed in accordance with 322 CMR 7.06(2) shall be forfeited to the Division. All forfeited permits shall be retired.

(4) Eligibility (a) Permit Holder. The holder of record in good standing of a limited entry permit covered by 322 CMR 7.06 may transfer the permit provided it has been actively fished during four of the last five years, as evidenced by signed catch reports or other records of landing received by the Division as required for each permit. Final determination of active fishing shall be at the discretion of the Division. If the permit holder transfers a Coastal Access Permit or a Coastal Lobster Permit, other limited entry permits held in conjunction with that permit may be transferred as part of that transaction, at the request of the permit holder. If the permit holder sells the vessel which is listed on the limited entry permits covered by 322 CMR 7.06(4)(a) or to which limited entry permits covered by 322 CMR 7.06 are issued, all permits may be transferred together to the new owner, if eligible. (b) Transferee. The person to whom the permit is transferred must document at least one year of full time or equivalent part time experience in commercial fishing. The person to whom the permit is transferred must be the owner/operator of the new business. If the permit is issued in the name of a vessel, the transferee must be the operator of the vessel or the majority owner of the vessel. (c) Exceptions. 1. Performance criteria established by 322 CMR 7.06(4)(a) may be waived due to the death of the permit holder or a documented medical disability, provided the permit was fished four of the five years preceding the death or disability, and a signed statement from a physician verifies that the disability prevents the permit holder from fishing. 2. For those permits operating under requirements that the permit holder be owner/ operators, this requirement may be waived through a letter of authorization issued by the Director that is subject to annual renewal. Letters of authorization may be granted for use of the permit and associated fishing operation that includes the gear and vessel owned by the permit holder that was actively fished prior to the request. Authorizations may be issued for persons on active military service, for immediate family members, for the recipient of a posthumous transfer, or for up to two years for disabled permit holders. Authorizations may be granted to disabled permit holders if the permit holder actively fished the permit during four of the past five years preceding the disability as evidenced by catch reports and a signed statement from a physician.

5/1/09 322 CMR - 68.1 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

7.06: continued

3. Experience criteria may be waived for posthumous transfers to immediate family members. (d) Restrictions. a. Transfers shall involve the sale or transfer of fishing-related business assets. b. Transfers may be denied if any evidence of fraud is found, or if the Director determines that the transfer is not in the best interests of the Commonwealth. (e) Restrictions Specific to Coastal Access Permit. 1. Permits will be issued to the recipient and authorized for use on a specific vessel, either the same vessel as the original permit holder or another vessel that does not exceed by more than 20% the horsepower of the original vessel, or exceed by more than 10% the length overall, gross registered or net tonnage of the original vessel for which the CAP was issued. Vessel length overall shall not exceed that specified in 322 CMR 7.05(13). 2. The recipient shall be the owner/operator or owner/manager of the new operation, and no person or corporation may hold more than 5% of the existing Coastal Access Permits issued by DMF. 3. The recipient, after obtaining a permit, may not transfer the permit until he/she has fished said permit for two years, except that, in the case of death or disability, a transfer may be authorized or a surviving immediate family member may operate the business.

7.07: Dealers Acting as Primarv Buyers

(1) Purpose. The purpose of 322 CMR 7.07 is to establish consistent standards for dealers to purchase certain species from commercial fishermen managed by DMF, including those under commercial quotas pursuant to interstate and federal management plans. To provide a mechanism to collect and verify landings of all species landed and sold in Massachusetts, dealers are required to maintain and report on records concering sale of fish within Massachusetts. In addition, dealers are required to provide access to said records to law enforcement officials at a permanent place of business within the Commonwealth.

(2) Definitions.

Primary Purchase means first commercial transaction by sale, barter or exchange of any fish or shellfish after its harvest.

Ouota Managed Species means those species managed by DMF with annual commercial quotas pursuant to interstate and/or federal management plans. Quota managed species include striped bass, summer flounder, scup, black sea bass, spiny dogfish, squid, bluefish, horseshoe crabs and tautog.

(3) Authorization. Dealers shall not purchase any species without being properly permitted by DMF. In addition, dealers buying quota managed species must have written authorization from the Director.

(4) Dealer Requirements. (a) Dealers must have a permanent place of business in Massachusetts. Dealers shall maintain a written record at their Massachusetts place of business, of all primary purchases of any species from commercial fishermen in Massachusetts. (b) Dealers accepting any species from fishermen shall record all purchases at the time of landing with number of containers per species, date, time, fishermen's name and DMF ill number for reporting purposes and inspection by law enforcement officials. Each container shall be labeled with vessel name and fishermen's DMF ill number to identify who the product was purchased from. (c) Dealers shall report all purchases of all species either electronically or by phone or in writing based on scl]edules established andAon forms provided by the Division.

(5) Prohibitions. (a) It is unlawful for dealers to purchase any species in excess of any species-specific possession limits established by 322 CMR. (b) It is unlawful for dealers to purchase any species when the commercial fishery for that species is closed.

5/1/09 322 CMR - 68.2 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

7.07: continued

(c) It is unlawful for dealers to accept or purchase any species from commercial fishermen during any species-specific no-fishing days established by any section of 322 CMR or during those species-specific hours of the day when landing is prohibited established by any section of 322 CMR. (d) It is unlawful for dealers to accept any species of fish from persons not commercially permitted by DMF.

(6) Exceptions. Prohibitions in 322 CMR 7.07(5)(a) through (c) shall not apply to the purchase of aquaculture-reared product.

7.08: Offshore Lobster Fishery Control Date and Moratorium

(1) Purpose. The purpose of 322 CMR 7.08 is to provide the Director and the Marine Fisheries Advisory Commission with controls on the offshore lobster fishery and to prevent holders of both coastal and federal offshore permits on a single vessel from increasing the cumulative effort attributable to both permits. The implementation of the control date and moratorium will prevent increases in lobster effort to accomplish the goals and objectives of the interstate lobster management plan.

(2) Control Date. After February 6, 2003 any person, vessel, or business entity issued a new offshore lobster permit may not be assured of future access to this fishery.

(3) Moratorium. After February 6, 2003, the Director may not issue new offshore lobster permits for the purpose of landing lobsters taken with traps from federal waters. The Director shall renew all existing Offshore Commercial Lobster Permits in accordance with M.G.L. c. 130, § 38B, and 322 CMR 7.01(2)(b), provided that catch reports and renewal applications are received by February 28th and the renewal process, including late renewals approved for sufficient cause, is completed prior to December 31st of any year. Exception. Holders of federal permits authorized to fish traps in Lobster Conservation Management Area 3 may apply to the Director for a new offshore landing permit. The Director may issue the permit if it is determined to result in no increased trap fishing effort in waters adjacent to Massachusetts.

(4) Forfeiture. All Offshore Lobster Permits which are not renewed in accordance with 322 CMR 7.08 shall be forfeited to the Division.

7.09: Fish Pot Permits and Transfers

(1) Definitions. For the purposes of 322 CMR 7.09 the following words shall have the following meanings.

Black Sea Bass means that species of fish known as Centropristes striata.

Conch means those species of whelk known as Busycon carica (knobbed whelk) and Busycotypus canaliculatus (channeled whelk).

Director means the Director of the Division of Marine Fisheries or his designee.

Fish or Fishing means to set pots on the ocean bottom.

Immediate Family Member means the legal father, mother, wife, husband, sister, brother, son, daughter, grandparent, or grandchild of the permit holder in the direct line.

Pot means any lobster trap, modified lobster trap, fish pot, fish trap, conch pot, tau tog pot, scup pot, or other device (except fish weirs) placed on the ocean bottom and capable of catching black sea bass, scup, conch, tau tog, or other species. A conch pot is further defined as any pot or trap without side heads or horizontal laths used for the taking of conch.

Scup means that species of fish known as Stenotomus chrysops.

Tautog means that species of fish known as Tautoga onitis.

5/1/09 322 CMR - 68.3 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. 322 CMR: DIVISION OF MARINE FISHERIES

7.09: continued

(2) Fish Pot Regulated Fishery Permits. Any person fishing with pots for black sea bass, scup, conch, and tautog, except lobsters and crabs, shall obtain a fish pot regulated fishery permit for each species from the Director in accordance with 322 CMR 7.01. Permits shall be issued to a named individual, and that individual shall be the owner/operator of the vessel. Fishermen with a coastal lobster permit are not required to possess a fish pot fishery permit if their finfish and conch by-catch does not exceed the weight of the lobster catch during any trip.

(3) Permit Transfers (a) New Permits. No new Fish Pot Regulated Fishery Permits shall be issued for a period of five years from the effective date of 322 CMR 6.12(4). At that time the Division and the Marine Fisheries Commission shall examine the status of this fishery and resource conditions and promulgate regulations governing the issuance of new licenses, if appropriate. (b) Renewals. The Director shall renew all existing Fish Pot Regulated Fishery Permits in accordance with 322 CMR 7.01 provided that renewal applications and an required catch reports are received by February 28th, and the renewal process, including late renewals approved for sufficient cause, is completed prior to June 30th of any year. (c) Forfeiture. Beginning January 1, 2000, an Fish Pot Regulated Fishery Permits which are not renewed in accordance with 322 CMR 6.12(4)(b) shall be forfeited to the Division. All forfeited permits shall be retired. (d) Eligibility. 1. Permit Holder. The holder of a Fish Pot Regulated Fishery Permit may transfer his/her permit provided it has been actively fished for four of the last five years, as evidenced by signed catch reports received by the Division and other forms of documentation as required by Division policy. Final determination of active fishing shall be at the discretion of the Division. 2. Transferee. The person to whom the permit is transferred must document that they have five years of full time or equivalent part time experience in commercial fishing or three years of full time or equivalent part time experience in a pot fishery. The person to whom the permit is transferred must be the owner/operator of the new business. 3. Exceptions. a. Performance criteria established by 322 CMR 6.12(4)(d) may be waived due to the death of a permit holder or due to a documented disability of a permit holder, provided that the permit was fished four of the five years immediately preceding the death or disability, and a signed statement from a physician verifies that the disability prevents the permit holder from fishing. b. The owner/operator requirement may be waived, subject to annual renewal, for the recipient of a posthumous transfer, for persons on active military duty, or for up to two years for a disabled permit holder, provided that performance criteria are met before the disability occurred. 4. Restrictions. a. Transfers shall involve the sale or transfer of fishing-related business assets. b. Transfers may be denied if any evidence of fraud is found, or if the Director determines that the transfer is not in the best interests of the Commonwealth.

REGULATORY AUTHORITY

322 CMR 7.00: M.G.L. c. 130, §§ 2, 17, 17A, 38B, 75, 80 and 104.

5/1/09 322 CMR - 68.4 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 # 673

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 322 CMR 8.00

CHAPTER TITLE: Coastal Fisheries Conservation & Management

AGENCY: Division of Marine Fisheries

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. Clarifies that Coastal Access Permits exclusively for purse seining may be exempt from maximum vessel length limit of 72"; and amends permitting for sink and surface gillnets.

REGULATORY AUTHORITY: M.G.L. c21A s2, c30A s.2 & c130 ss 17A & 80

AGENCY CONTACT: Melanie Griffin PHONE: 617.626.1528

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

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

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

PRIOR NOTIFICATION AND/OR APPROVAL - If prior notification to and/or approval of the Governor, Legislature or others was required, list each notification, and/or approval and date, including notice to the Local Government Advisory Commission. Marine Fisheries Advisory Commission...03/12/2009 Commissioner, Department of Fish & Game...03/18/2009

Date of public hearing or comment period: 01/26&27/2009

For the first five years:

No fiscal effect:

Amends permitting requirements for gillnet operations.

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

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

SIGNATURE: SIGNATURE ON FILE DATE: Mar 18 2009

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1129 DATE: 05/01/2009

EFFECTIVE DATE: 05/01/2009

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: 70.1, 70.2 70.1, 70.2 73 - 76 73 - 76

04/15/2009 cm

8.03: Night Closure to Mobile Gear Fishing

All waters under the jurisdiction of the Commonwealth shall be closed to night fishing with trawls or shellfish dredges but shall not be closed to purse seines or mid-water trawls used to harvest sea herring by vessels issued a special permit pursuant to 322 CMR 8.08(3).

8.04: Mobile Gear Restriction

Vessels using nets may not conduct any fishing activity with disks, rollers of rockhoppers greater than 12 inches in diameter.

8.05: Vessel Length Limits

Vessels greater than 90 feet registered length may not conduct fishing activities in any waters under the jurisdiction of the Commonwealth.

8.06: Minimum Size and Possession Limits

(1) Scup. (a) Minimum Size. 1. For-hire. It is unlawful for customers aboard for-hire vessels to possess scup less than 11 inches in total length. 2. Private Anglers. It is unlawful for anglers aboard private vessels or fishing from shore to possess scup less than 10½ inches in total length. 3. Commercial. It is unlawful for any commercial fisherman or dealer to possess scup less than nine inches in total length. (b) Possession Limits. 1. Private Anglers. Anglers aboard private vessels or fishing from shore are prohibited from possessing more than ten scup per day from May 24th through September 26th. Private vessels with six or more persons aboard are prohibited from possessing more than 50 scup per day from May 24th through September 26th. 2. For-hire. Anglers aboard for-hire vessels are prohibited from possessing more than 45 scup per day from May 15th through June 28th and ten scup per day from June 29th through September 17th. (c) Prohibitions. 1. It is unlawful for anglers aboard private vessels or fishing from shore to possess scup from September 27th through May 23rd. 2. It is unlawful for anglers aboard for-hire vessels to possess scup from September 18th through May 14th.

(2) Black Sea Bass. (a) It is unlawful for any person to possess black sea bass less than 12 inches in total length not including the tail tendril. (b) It is unlawful for recreational fishermen to possess more than 20 black sea bass at any one time.

5/1/09 322 CMR - 70.1 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

NON-TEXT PAGE

7/29/94 (Effective 12/31/93) - corrected 322 CMR - 70.2 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 322 CMR: DIVISION OF MARINE FISHERIES

8.08: continued

(3) Sea Herring. Commercial fishing for sea herring requires a special permit of the Director pursuant to 322 CMR 7.01.

(4) Whiting. Vessels fishing for whiting during the dates and within the area set forth in 322 CMR 8.07(2) require a special permit in accordance with 322 CMR 7.01.

(5) Loligo Squid. Commercial fishing with trawls having less than six inches mesh size in any part of the trawl and in the area described in 322 CMR 8.07(1)(b) during the period April 23 through June 9 requires a special permit of the Director pursuant to 322 CMR 7.01.

(6) Application. Applicants may apply for special permits on forms supplied by the Director.

(7) Review. In reviewing any application the Director may consider the following: (a) effect on traditional fisheries; (b) gear conflicts; (c) effect on the stock status; (d) economic impact; and (e) any other factor deemed necessary or appropriate for the conservation and management of fishery resources.

(8) Conditions. The Director may condition the issuance of any special permit as necessary or appropriate for the conservation and management of fishery resources, or for the public health, welfare or safety.

(9) Revocation. A special permit may be suspended or revoked for violation of any condition or restriction of the permit; for any provision of 322 CMR or for any provision of M.G.L. c. 130.

8.09: Spawning Area Closures

(1) Except as provided for in 322 CMR 8.09(2) and (3), the following waters shall be closed to commercial fishing for any finfish between the dates of February 1 through May 31, in all of the waters shoreward of an area bounded by an imaginary line beginning at a point 42°02.0' N latitude and 70°10.2' W longitude; thence following an imaginary line to a point at 42°00.7' N latitude and 70°06.4' W longitude; thence following an imaginary line to a point at 41°56.3' N latitude and 70°05.9' W longitude; thence following an imaginary line to a point at 41°48.9' N latitude and 70°10.9' W longitude; thence following an imaginary line to a point at 41°46.4' N latitude and 70°09.8' W longitude; thence following an imaginary line to a point at 41°45.1'W latitude and 70°16.5'W longitude; thence following an imaginary line to a point at 41°47.1'N latitude and 70°28.1'W longitude; thence following an imaginary line to a point at 41°55.2'N latitude and 70°30.4'W longitude; thence following an imaginary line to a point at 41°59.9'N latitude and 70°35.1'W longitude; thence following an imaginary line to a point at 42°05.6'N latitude and 70°36.5'W longitude; thence following an imaginary line to a point at 42°16.4'N latitude and 70°44.8'W longitude; thence following an imaginary line to a point at 42°18.6'N latitude and 70°50.1'W longitude; thence following an imaginary line to a point at 42°21.9'N latitude and 70°52.2'W longitude; thence following an imaginary line to a point at 42°24.7'N latitude and 70°54.4'W longitude; thence following an imaginary line to a point at 42°27.6'N latitude and 70°50.3'W longitude; thence following an imaginary line to a point at 42°32.8'N latitude and 70°45.9'W longitude; thence following an imaginary line to a point at 42°34.3'N latitude and 70°39.9'W longitude; thence following an imaginary line drawn to Thatcher's Island Light to a point along said line where it intersects with the boundary line separating the towns of Rockport and Gloucester; thence following the Rockport/Glouster boundary southeasterly to a point 42°35.5'N. 70°34.6'W; thence following an imaginary line 31° true to a point at 42°37.8'N, 70°32.8'W; thence following an imaginary line 360° true to a point at 42°39.5'N, 70°32.8'W; thence following an imaginary line 340° true to a point at 42°40.8'N, 70°33.5'W; thence following 314° true to a point at 42°43.8'N, 70°37.6'W; thence following an imaginary line in a southerly direction 193° true to a point one nautical mile from the shoreline; thence following an imaginary line drawn in such a manner that each point on it is one nautical mile from the shoreline to the Massachusetts/New Hampshire boundary.

5/20/05 322 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. 322 CMR: DIVISION OF MARINE FISHERIES

8.09: continued

(2) Sea Herring. Commercial fishing for sea herring is permitted during the time and area closure set forth in 322 CMR 8.09(1) provided that a special permit is obtained pursuant to 322 CMR 7.01.

(3) Cod. Line trawling for cod is permitted during the time and area closure set forth in 322 CMR 8.09(1) provided that only hook sizes with a gape of not less than 11/16 of an inch measured from the point of the hook to the inside of the shank or circle hooks (so-called) with a gape of not less than ½ inch may be used, and provided further that the area is open to groundfish as set forth in 322 CMR 8.12.

8.10: Gillnet Mesh Size and Permit Requirements

(1) Mesh Size. Sink gillnets and flatfish gillnets shall have mesh openings not less than 6½ inches.

(2) Mesh Measurements. Except as otherwise provided for in 322 CMR 8.10(3), mesh sized are measured by a wedge-shaped gauge having taper of two centimeters in eight centimeters and a thickness of 3.2 milimeters, inserted into the meshes under a pressure or pull of five kilograms. The mesh size will be the average of the measurements of any series of 20 consecutive meshes.

8.11: Prohibitions

It is Unlawful for:

(1) any vessel greater than 90 feet in registered length to conduct fishing activities in any waters under the jurisdiction of the Commonwealth;

(2) any vessel to conduct fishing activities in any waters under the jurisdiction of the Common- wealth with nets having disks, rollers or rockhoppers greater than 12 inches in diameter;

(3) any person to use bottom trawls during the dates and within the areas set forth in 322 CMR 8.07(1)(a) and (b) with mesh sizes measuring less than those sizes prescribed in 322 CMR 8.07(1)(a) and (b).

(4) any person without a special permit to fish with nets having a cod end mesh with an opening of less than 6½ inches during the dates and within the areas set forth in 322 CMR 8.07.

(5) any person with a special permit issued pursuant to 322 CMR 8.08(4), (5) and (6) to retain flounders of any kind, cod, haddock or pollock.

(6) any person to process fish on board a vessel within any waters under the jurisdiction of the Commonwealth without a special permit in accordance with either 322 CMR 11.00 or 8.08;

(7) any person to fish for sea bass, scup or conch by means of a pot without a special permit;

(8) any person to conduct commercial fishing for sea herring without a special permit;

(9) any person to conduct commercial fishing for any finfish except as otherwise provided for in 322 CMR 8.09(2) or (3) between February 1st to May 31st of any year within the areas set forth in 322 CMR 8.09(1)(a);

(10) any person to line trawl for cod between February 1st to May 31st of any year within the area set forth in 322 CMR 8.09(1)(a) with hook sizes having a gape of less than 11/16 of an inch measured from the point of the hook to the inside of the shank or with circle hooks having a gape of less than ½ inch;

(11) any person to fish, store, or abandon gillnets in any waters under the jurisdiction of the Commonwealth;

(12) any person to conduct commercial fishing with Scottish, Danish or Pair seines, without a special permit in waters north of Boston;

5/1/09 322 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. 322 CMR: DIVISION OF MARINE FISHERIES

8.11: continued

(13) for any person to conduct commercial fishing between February 1st and April 30th using Scottish, Danish or Pair seines, within the area established in 322 CMR 3.04(5)(a);

(14) for any person to conduct commercial fishing between April 1st and December 31st using Scottish, Danish or Pair seines within Mobile Gear Area 4 (Outer Boston Harbor) established in 322 CMR 3.04(3);

(15) for any person to conduct commercial fishing between April 1st and October 31st using Scottish, Danish or Pair seines within Mobile Gear Area 3 (Hull to Plymouth) established in 322 CMR 3.04(4);

(16) for any person to conduct commercial fishing between May 1st and October 31st using Scottish, Danish or Pair seines within Mobile Gear Areas 2(a) and (b) (Eastham to Mashpee and Plymouth to Provincetown) in 322 CMR 3.04(5) and (6);

(17) for any person to fish for commercial purposes with trawls or shellfish dredges in waters under the jurisdiction of the Commonwealth ½ hour after sunset to ½ hour before sunrise during the period March 1st through October 31st, or from 6:00 P.M. to 6:00 A.M. during the period November 1st through the last day of February, unless fishing with purse seines or mid-water trawls used to harvest sea herring as provided by 322 CMR 8.03.

(18) any vessel fishing with trawls in area and at time defined in 322 CMR 8.07(1)(a) during a single fishing trip to have on board said vessel or land at any given time during that same fishing trip and possess mesh less than six inches.

(19) for any person to harvest, catch, or take any species of fish by means of a gillnet without a special permit issued pursuant to 322 CMR 8.10(3).

(20) any vessel to engage in at-sea transfer of any fish or shellfish subject to possession limits established pursuant to 322 CMR.

(21) any vessel to engage in at-sea processing without an at-sea processing permit issued pursuant to 322 CMR 8.08(1), except that it is lawful for any vessel to shuck scallops or eviscerate finfish at-sea without an at-sea processing permit.

(22) any vessel with an at-sea processing permit to process any fish or shellfish subject to minimum size limits established pursuant to 322 CMR.

8.12: Groundfish Closures in the Gulf of Maine

(1) Definition.

Regulated Groundfish Species means those finfish regulated under the federal Northeast Multispecies Fishery Management Plan and defined as regulated species. These include: Atlantic cod, windowpane flounder, witch flounder, American plaice, yellowtail flounder, haddock, pollock, winter flounder, white hake, and redfish.

(2) April through May and October through November Cape Cod Bay and Massachusetts Bay Closure from Plymouth North to Marblehead. Except as exempted in 322 CMR 8.12(7) during April 1st through May 31st and October 1st through November 30th, it is unlawful for commercial fishermen to possess or fish for regulated groundfish specifies taken from an area within the waters under the jurisdiction of the Commonwealth north of the 42° line and south of the 42° 30' line.

(3) April through June Closure in Upper Massachusetts Bay and Ipswich Bay from Marblehead to the New Hampshire Border. During April 1st through June 30th, it is unlawful for commercial fishermen to possess or fish for regulated groundfish species within the waters under the jurisdiction of the Commonwealth north of the 42° 30' line to the Massachusetts/New Hampshire border.

5/1/09 322 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. 322 CMR: DIVISION OF MARINE FISHERIES

8.12: continued

(4) May Closure East of Cape Cod. During May 1st through May 31st, it is unlawful for commercial fishermen to possess or fish for regulated groundfish species within the waters under the jurisdiction of the Commonwealth east of Cape Cod south of latitude 42° and east of longitude 70°.

(5) Gear Types. These closures apply but are not limited to the use of otter trawls, line trawls, and hook and line.

(6) Experimental Fishery. The Director at his discretion may authorize experimental fishery activities for fishing for regulated species with certain gear types in the aforementioned closed areas and times to investigate catch by-catch composition to ascertain the need for potential future exemptions.

(7) Exemptions. (a) These closures do not apply to the use of longlines for the purpose of catching dogfish nor to the use sea scallop dredges that conform with specifications in 322 CMR 4.10. (b) A vessel may fish with a small-mesh raised footrope trawl in a portion of upper Cape Cod Bay during October and November subject to the rules in 322 CMR 8.07(2) and 322 CMR 8.14. (c) A vessel may fish during the month of January with rod-and-reel, handlines, or longlines provided the vessel operator has applied to DMF and obtained written authorization from the Director. The Director may further limit gear types and may limit participation to those fishermen with prior documented groundfishing history in this area and season.

8.13: Tautog Commercial Fishery Closure

During the periods of November 1st through April 15th and May 16th through July 10th, it shall be unlawful for commercial fishermen to take, possess, or sell tautog, and for dealers to purchase tautog from commercial fishermen.

8.14: Upper Cape Cod Whiting Area

(1) Subject to the conditions set forth in 322 CMR 8.14(1) through (3) and permit requirements in 322 CMR 8.08(6) and 7.05 it is lawful to fish for whiting during September 1st through November 20th within a portion of Cape Cod Bay as defined in 322 CMR 8.14(1) and subject to the conditions in 322 CMR 8.14(2) and (3). (a) Area. Unless otherwise authorized by 322 CMR 8.07(3), vessels fishing in Cape Cod Bay may fish for whiting only in an area enclosed by straight lines connecting the following coordinates.

POINT LATITUDE LONGITUDE NUMBER Degrees Minutes Degrees Minutes 1 42 00.000 70 24.076 2 42 00.000 70 13.225 3 42 07.850 70 30.100 4 42 14.050 70 08.800 5 42 08.350 70 04.050 6 42 04.750 70 16.950 1 42 00.000 70 24.076

(b) By-catch Prohibitions. Any vessel fishing in the Upper Cape Cod Bay Whiting Area with small mesh aboard shall not possess the following species: cod, haddock, pollock, redfish, white hake, yellowtail flounder, winter flounder, windowpane flounder, American plaice and witch flounder, summer flounder, skates, monkfish, lobster, crabs, ocean pout, sculpin, and sea raven.

8/10/07 (Effective 6/25/07) 322 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. Docket # 38

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 711 CMR 3.00

CHAPTER TITLE: Control and Restrictions of Billboards, Signs and other Advertising Devices

AGENCY: Outdoor Advertising Board

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. The Outdoor Advertising Division is charged with the regulating and controlling, through its Outdoor Advertising Board and its executive director, the erection and maintenance of off-premise billboards, signs and other advertising devices in the Commonwealth.

REGULATORY AUTHORITY: Chapter 93: Section 29. Powers of Outdoor Advertising Board; Rules regulations; permits; hearings AGENCY CONTACT: Edward J Farley, Executive Director PHONE: 617-973-8431

ADDRESS: 10 Park Plaza Room 7517 Boston, MA 02116

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

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

PRIOR NOTIFICATION AND/OR APPROVAL - If prior notification to and/or approval of the Governor, Legislature or others was required, list each notification, and/or approval and date, including notice to the Local Government Advisory Commission. Secretary of State, Regulations Division - February 5, 2009 Department of Housing and Community Development - February 6, 2009 Massachusetts Municipal Association - February 6, 2009

Date of public hearing or comment period: April 9, 2009

For the first five years: none

No fiscal effect: none

CODE OF MASSACHUSETTS REGULATIONS INDEX - List key subjects that are relevant to this regulation: defining "On-Premise" advertising

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: Apr 13 2009

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1129 DATE: 05/01/2009

EFFECTIVE DATE: 05/01/2009

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711 CMR 3.00: CONTROL AND RESTRICTION OF BILLBOARDS, SIGNS AND OTHER ADVERTISING DEVICES

Section

3.01: Definitions 3.02: Licenses; Permits; Exemptions 3.03: Fees for, Expiration of and Revocation of Licenses and Permits 3.04: Procedure for Processing and Requirements for Application for a License and License Renewals 3.05: Procedure for Processing Applications for Initial Permits, Temporary Permits, Permit Renewals and Permit Transfers 3.06: Specific Information to be Submitted with Initial and Temporary Permit Applications 3.07: Requirements for New Permits 3.08: Requirements for Renewal of Permits 3.09: Permit Amendment 3.10: Rotating or Alternate Faces 3.11: Permit Transfer 3.12: Maintenance of Signs 3.13: Duty of Compliance 3.14: Severability 3.15: Repair or Restoration of Signs 3.16: Required Notification 3.17: Savings Clause Appendix I Appendix II

3.01: Definitions

As used in 711 CMR 3.00, the following words shall have the following meanings:

Abandon: to neglect, abandon or fail to perform maintenance upon a sign or to fail to obtain all necessary licenses and permits to erect and maintain a sign.

Assessors Map: a map prepared by or for the municipality to locate and identify properties for tax assessment purposes.

Board: the Outdoor Advertising Board.

Erect: to construct, reconstruct, alter, modify, build, raise, assemble, place, fix, affix, attach, create, paint, draw, post, display or in any way bring in to being or establish. The term shall not include ordinary maintenance.

Highway: any public way, street, road, artery, highway or other way on which the public travels.

Maintain: to cause or allow to exist.

Modify: to alter or change a sign in any manner including, but not limited to the following: (a) to raise or lower a sign; (b) to change the location or materials of a sign; (c) to change the dimensions of a sign (length, width, height, depth, number of faces, or clearance between the bottom of the sign and ground or roof on which it is standing); (d) to add lighting to a sign; The term shall not include ordinary maintenance.

Ordinary Maintenance: any maintenance that does not affect structure including and limited to the following: (a) to change a message (b) to repair deteriorating elements of a sign; and (c) to repair any existing electrical wiring, component or bulb. The term shall not include erection or modification of any sign.

9/27/02 711 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. 711 CMR: OUTDOOR ADVERTISING BOARD

3.01: continued

Outdoor Advertising: the act of erecting or maintaining any sign which advertises, promotes or calls attention to any business, article, substance, idea or any other thing or concept on any public way or on any private property within public view of any public way, public park or reservation.

Person: any individual, person, partnership, corporation, firm, trustee, group, association, city, town, authority, county, agency or other governmental unit.

Public Park or Reservation: any park, reservation, playground, cemetery, or other land, regardless of ownership, which is available for public use, or reserved for the public, for recreation or conservation purposes.

Public Way: any highway.

Sign: any billboard, sign, display, light, figure, painting, drawing, poster, object or device, whether fixed or movable, which advertises, promotes or calls attention to any business, article, substance, idea or any other thing or concept, including both the supporting structure and informative contents thereof; provided that each sign face or message shall be considered a separate sign for purposes of permit and renewal applications, fees and permit numbers.

3.02: Licenses; Permits; Exemptions

(1) Licenses. (a) No person shall engage in the business of outdoor advertising in this Commonwealth by means of any sign or signs without first obtaining a license therefore from the Board. (b) Notwithstanding the requirements of 711 CMR 3.02(1)(a), no license shall be required for any person whose outdoor advertising activities are limited to: 1. erecting and maintaining signs in conformity with law and which advertise or indicates: a. either the entity which primarily occupies the premises in question or a principal activity taking place on the property where the sign is located. b. the property itself or any part thereof as for the sale or to let, and which contain no other matter; 2. erecting or maintaining signs relating solely to the person or to the goods or services the person offers; 3. erecting or maintaining a sign painted on or attached to the surface of any vehicle provided said vehicle is used primarily for purposes other than advertising; or 4. conducting activities exempted by M.G.L. c. 93, § 32. (c) Licenses issued by the Board are non-transferable.

(2) Permits. (a) No person shall erect or maintain any sign unless a permit for such sign has been granted pursuant to 711 CMR 3.00. (b) Notwithstanding the requirements of 711 CMR 3.02(2)(a), no permit shall be required for any sign which is: 1. erected or maintained in conformity with law and which advertises or indicates: a. either the entity which primarily occupies the premises in question or a principal activity taking place on the property where the sign is located. b. the property itself or any part thereof as for sale or let, and which contain no other matter. 2. painted on or attached to the surface of any vehicle provided said vehicle is used primarily for purposes other than outdoor advertising; or 3. exempted by M.G.L. c. 93, § 32. (c) No permit for any sign shall be transferred without the prior approval of the Board following written application by both parties to such transfer. (d) A permit must specify the height, illumination, construction and area of a sign. A permittee shall be entitled to allocate the permitted sign area of a single structure among multiple or single sign faces on the same structure as it sees fit. Cutouts, extensions or other temporary creative displays associated with particular advertising messages are allowed within the permitted area. (e) A permit shall be granted for a single year and must be renewed annually pursuant to 711 CMR 3.08(1).

5/1/09 711 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. Docket # 38

THE COMMONWEALTH OF MASSACHUSETTS William Francis Galvin Secretary of the Commonwealth

Regulation Filing To be completed by filing agency

CHAPTER NUMBER: 807 CMR 10.00

CHAPTER TITLE: Maternity Service Purchases

AGENCY: Teachers' Retirement Board

SUMMARY OF REGULATION: State the general requirements and purposes of this regulation. This regulation establishes the procedures by which members of the Teachers' Retirement System ("TRS") can purchase as creditable service a prior maternity leave, as authorized by M.G.L. c. 32, § 4(1)(g½). The regulation also provides guidance as to the TRS's interpretation of the statute.

The regulation, which was enacted in December 2000, is being amended to reflect recent legislative changes to the application of interest on certain buybacks and repayments contained in M.G.L. c. 32, § § 4 and 105.

REGULATORY AUTHORITY: M.G.L. c. 15, § 16; and M.G.L. c. 32, § 20(5)(b)

AGENCY CONTACT: James H. Salvie, General Counsel PHONE: 617-679-6888

ADDRESS: One Charles Park, Cambridge, MA 02142-1206

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

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

Date of public hearing or comment period: Friday, March 20, 2009

For the first five years: N/A

No fiscal effect: No public/private sector fiscal impact.

CODE OF MASSACHUSETTS REGULATIONS INDEX - List key subjects that are relevant to this regulation: Creditable Service; Maternity Leave; and Buyback Interest.

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: Apr 3 2009

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1129 DATE: 05/01/2009

EFFECTIVE DATE: 05/01/2009

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807 CMR 10.00: MATERNITY SERVICE PURCHASES

Section

10.01: Purpose 10.02: Definitions 10:03: Applicability 10.04: Service That Can Be Purchased 10.05: Contributions

10.01: Purpose

The purpose of 807 CMR 10.00 is to establish the procedure for the purchase of creditable service for maternity leave, as authorized by M.G.L. c. 32, § 4(1)(g ½), and to provide guidance as to the Board’s interpretation of the statute. 807 CMR 10:00 supplements the provisions of M.G.L. c. 32, §4 (1)(g ½).

10.02: Definitions

For purposes of 807 CMR 10.00:

Compensation is, for any given year, either the regular compensation that was actually paid for the position that the member left, or the Presumed Salary adjusted to reflect the teacher’s normal full or part-time schedule, as the case may be. Absent documentation to the contrary, the member’s Compensation for each year equals the Presumed Salary.

Leave is an authorized unpaid absence from employment as a teacher in Massachusetts, a period of unemployment after resignation as a teacher in Massachusetts, or a period following a break in active membership as a teacher due to the member working on a basis of less than half time. The “Leave” must be immediately preceded by membership service. A termination of employment as a teacher for cause (other than maternity) shall not be considered a Leave. The Leave will be considered terminated upon re-entry into membership service in a Massachusetts contributory retirement system on at least a half time basis.

Maternity Leave is a Leave that begins no more than nine months before the birth or adoption of a child. The Board may request any documents that it determines are needed to make this determination, including but not limited to birth certificates, adoption records, or documents establishing termination of employment. A Leave that the Board determines is for a reason other than the birth or adoption of a child is not a Maternity Leave.

Presumed Salary is defined in the table in 807 CMR 10.05.

10:03: Applicability

807 CMR 10.00 applies to all eligible members regardless of gender.

10.04: Service That Can Be Purchased

(1) A member may purchase creditable service pursuant to M.G.L. c. 32, § 4(1)(g½) for any Maternity Leave that begins before January 1, 1975, even if such Leave extends beyond that date.

(2) A member may purchase creditable service equal to the duration of each Maternity Leave, up to a maximum of four years.

(3) In no event may a member purchase more than the statutory maximum of four years, regardless of the number of Maternity Leaves.

(4) A member shall receive full creditable service equal to the full years and full months of the Maternity Leave (i.e. full-time credit, not pro-rated).

1/22/00 807 CMR - 21 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 807 CMR: TEACHERS' RETIREMENT BOARD

10.04: continued

(5) One year shall equal the member’s normal work year immediately preceding the Maternity Leave. A member can purchase only those months normally worked immediately before the Maternity Leave.

10.05: Contributions

(1) The member must pay into the Annuity Savings Fund an amount equal to the deductions that would have been withheld had the member continued in service, together with buyback interest. Contributions will be made at the rate of 5% of the Compensation for each year.

(2) The Presumed Salary for each year is as follows:

School Presumed School Presumed School Presumed School Presumed Year Salary Year Salary Year Salary Year Salary 1954-55 $4,045 1960-61 $5,500 1966-67 $7,300 1972-73 $10,519 1955-56 $4,140 1961-62 $5,775 1967-68 $7,550 1973-74 $11,128 1956-57 $4,325 1962-63 $6,075 1968-69 $8,100 1974-75 $12,734 1957-58 $4,650 1963-64 $6,275 1969-70 $8,764 1975-76 $13,519 1958-59 $4,950 1964-65 $6,950 1970-71 $9,611 1976-77 $14,311 1959-60 $5,300 1965-66 $7,100 1971-72 $10,178 1977-78 $15,336

If a member has more than four years of Maternity Leave, or chooses to purchase fewer than four years, the Board will specify which years may be purchased. All service must be purchased in increments of whole months.

(3) Members paying pursuant to an installment plan must pay installment interest in addition to the buyback interest required in 807 CMR 10.05(1). The installment interest rate equals the buyback interest rate.

REGULATORY AUTHORITY

807 CMR 10.00: M.G.L. c. 15, § 16; c.32; § 4(1) (g½).

5/1/09 807 CMR - 22 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. Docket # 270

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. Amend the operation of the on-line Megabucks and Mass Cash games.

REGULATORY AUTHORITY: MGL, Chapter 10, Section 24 and Chapter 30A, Section 3

AGENCY CONTACT: Charles R. McIntyre, General Counsel PHONE: 781-849-5515

ADDRESS: 60 Columbian St, 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.

Date of public hearing or comment period: March 30, 2009

For the first five years:

No fiscal effect: X

CODE OF MASSACHUSETTS REGULATIONS INDEX - List key subjects that are relevant to this regulation: 961 CMR 2.00

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: Apr 9 2009

Publication - To be completed by the Regulations Division

MASSACHUSETTS REGISTER NUMBER: 1129 DATE: 05/01/2009

EFFECTIVE DATE: 05/01/2009

CODE OF MASSACHUSETTS REGULATIONS Remove these pages: Insert these pages: 1, 2 1, 2 5, 6 5, 6 17 - 20 17 - 20 21 - 26 21 - 26 04/13/2009 cm 31, 32 31, 32

Table of Contents Page

(961 CMR 1.00: RESERVED) 3

961 CMR 2.00: RULES AND REGULATIONS 5

Section 2.01: Introduction 6 Section 2.02: General Regulations 6 Section 2.03: Definitions 6 Section 2.04: Lottery Director 7 Section 2.05: Licensed Sales Agents 7 Section 2.06: Intervals and Ticket Amounts 7 Section 2.07: Erroneous or Mutilated Tickets 7 Section 2.08: Lottery Sales Agents Application, Sales Agent Update and License 8 Section 2.09: License to be Displayed 8 Section 2.11: Bonding of Sales Agents 8 Section 2.12: Conversion to Vending Machines 8 Section 2.13: Denials, Revocation, Suspension or Non-renewal of License 9 Section 2.14: Sales Agent's Compensation 10 Section 2.15: Transfer of Location of License, Substantial Change of Ownership, or Complete Change of Ownership 10 Section 2.16: Deposits of Lottery Revenues 11 Section 2.17: Special Lottery Agents 11 Section 2.18: Hearings on Denial or Revocation of License 11 Section 2.19: Procedure if License is Revoked 12 Section 2.20: Obligations of Licensed Sales Agents 12 Section 2.21: Lottery Accounts 12 Section 2.22: Lottery Tickets -- Safekeeping 13 Section 2.25: Sales Agent's Instructions 13 Section 2.26: Stolen and Mutilated Tickets 13 Section 2.27: Price of Tickets -- Limitations 13 Section 2.28: Prizes 14 Section 2.30: Special Games 14 Section 2.31: Instant Game Rules 14 Section 2.32: Severability 15 Section 2.33: Determination of Prizes 15 Section 2.34: One Prize per Ticket 16 Section 2.35: Betting Limitations 16 Section 2.36: Manner of Conducting Lottery Drawings 16 Section 2.37: Notification of Prize Winners 16 Section 2.38: Procedure for Claiming Prizes 16 Section 2.39: Ownership of Lottery Tickets 17 Section 2.40: Bonus Payments to Sales Agents 18 Section 2.41: Other Lotteries or Sweepstakes 18 Section 2.42: Prizes Payable After Death or Disability of Owner 18 Section 2.43: Payment of Prizes 19 Section 2.44: Place of Payment 19 Section 2.45: Discharge of State Lottery upon Payment 19 Section 2.46: Amendments 19 Section 2.47: Returned Lottery Tickets 20 Section 2.48: Postponement of Drawings 20 Section 2.49: Change of Drawing Format 20 Section 2.50: Sales of Lottery Tickets to Minors - Penalties 20 Section 2.52: The Numbers Game -- On-line System Operating Rules 20 Section 2.53: On-line Semi-weekly Number Game -- MEGABUCKS DOUBLER 22 Section 2.54: On-line Semi-weekly Number Selection Game -- MASS MILLIONS 26

5/1/09 961 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. 961 CMR: STATE LOTTERY COMMISSION

Table of Contents Page

961 CMR 2.00: RULES AND REGULATIONS (continued)

Section 2.55: On-line Semi-weekly Number Selections Game -- MASS CASH 29 Section 2.56: Pull Tab Tickets 32 Section 2.57: Gift Certificates 34 Section 2.58: On-line Number Selection Game -- KENO 34 Section 2.59: On-line Semi-weekly Multi-state Number Selection Game -- MEGA MILLIONS 36.1 Section 2.60: Anti-litter Program 36.11 Section 2.61: On-line Semi-weekly Number Selection Game -- CASH WinFall 36.11 Section 2.62: On-line Number Selection Game – DAILY RACE GAME 36.14

961 CMR 3.00: BEANO REGULATIONS 37

Section 3.01: General Regulations 37 Section 3.02: Definitions 37 Section 3.03: Licensing 38 Section 3.04: Conduct of Games 40 Section 3.05: Reporting and Record Keeping 44 Section 3.06: Hearings 46 Section 3.07: Senior Citizens Beano 47

961 CMR 4.00: REGULATIONS CONTROLLING CERTAIN RAFFLE AND BAZAAR PERMITS 49

Section 4.01: Authority 49 Section 4.02: Definitions 49 Section 4.03: Licensing 50 Section 4.04: Conduct of Games 51 Section 4.05: Reporting and Record Keeping 56

6/15/07 961 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. 961 CMR: STATE LOTTERY COMMISSION

961 CMR 2.00: RULES AND REGULATIONS

Section

2.01: Introduction 2.02: General Regulations 2.03: Definitions 2.04: Lottery Director 2.05: Licensed Sales Agents 2.06: Intervals and Ticket Amounts 2.07: Erroneous or Mutilated Tickets 2.08: Lottery Sales Agents Application, Sales Agent Update and License 2.09: License to be Displayed 2.11: Bonding of Sales Agents 2.12: Conversion to Vending Machines 2.13: Denials, Revocation, Suspension or Non-renewal of License 2.14: Sales Agent's Compensation 2.15: Transfer of Location of License, Substantial Change of Ownership, or Complete Change of Ownership 2.16: Deposits of Lottery Revenues 2.17: Special Lottery Agents 2.18: Hearings on Denial or Revocation of License 2.19: Procedure if License is Revoked 2.20: Obligations of Licensed Sales Agents 2.21: Lottery Accounts 2.22: Lottery Tickets -- Safekeeping 2.25: Sales Agent's Instructions 2.26: Stolen and Mutilated Tickets 2.27: Price of Tickets -- Limitations 2.28: Prizes 2.30: Special Games 2.31: Instant Game Rules 2.32: Severability 2.33: Determination of Prizes 2.34: One Prize per Ticket 2.35: Betting Limitations 2.36: Manner of Conducting Lottery Drawings 2.37: Notification of Prize Winners 2.38: Procedure for Claiming Prizes 2.39: Ownership of Lottery Tickets 2.40: Bonus Payments to Sales Agents 2.41: Other Lotteries or Sweepstakes 2.42: Prizes Payable after Death or Disability of Owner 2.43: Payment of Prizes 2.44: Place of Payment 2.45: Discharge of State Lottery upon Payment 2.46: Amendments 2.47: Returned Lottery Tickets 2.48: Postponement of Drawings 2.49: Change of Drawing Format 2.50: Sales of Lottery Tickets to Minors - Penalties 2.52: The Numbers Game - On-line System Operating Rules 2.53: On-line Semi-weekly Number Game -- MEGABUCKS DOUBLER 2.54: On-line Semi-weekly Number Selection Game -- MASS MILLIONS 2.55: On-line Semi-weekly Number Selections Game -- MASS CASH 2.56: Pull Tab Tickets 2.57: Gift Certificates 2.58: On-line Number Selection Game -- KENO 2.59: On-line Semi-weekly Multi-state Number Selection Game -- THE BIG GAME/MEGA MILLIONS 2.60: Anti-litter Program 2.61: On-line Semi-weekly Number Selection Game -- CASH WinFall 2.62: On-line Number Selection Game – DAILY RACE GAME

5/1/09 961 CMR - 5 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 961 CMR: STATE LOTTERY COMMISSION

2.01: Introduction

The Massachusetts State Lottery ("Lottery") was established by the enactment of St. 1971, c. 813. This law created a State Lottery Commission ("Commission") in the office of the State Treasurer who is Chairman of the Commission. Other members of the Commission are: the Secretary of Public Safety, the State Comptroller, and two persons appointed by the Governor for terms coterminous with that of the Governor. The Lottery directs the State Treasurer to appoint a Director of the Lottery, subject to the approval of the Governor. Revenues from the Lottery must be distributed as follows: (a) no less than 45% must be paid to holders of winning tickets; (b) not more than 15% may be used for operating costs; and (c) the balance must be distributed to the Local Aid Fund for the benefit of all the cities and towns in Massachusetts. 961 CMR 2.00 has been enacted pursuant to and under the authority of M.G.L. c. 30A and M.G.L. c. 10, § 24.

2.02: General Regulations

961 CMR 2.00 is established by the Massachusetts State Lottery Commission to define and regulate the operation and administration of the Massachusetts State Lottery. In addition to 961 CMR 2.00, rules for specific games, drawings or other matters may be found in Administrative Bulletins periodically issued by the Director.

2.03: Definitions

Act or Law means M.G.L. c. 10, §§ 22 through 35 and § 36.

Administrative Bulletin means a set of rules or guidelines issued by the Director for the purpose of detailing the rules, procedures or specific details of games and/or drawings and other matters that may arise from time to time in the course of business.

Bank means and includes all banks, banking associations, cooperative banks, credit unions, trust companies and any other type or form of banking institution organized under the authority of the Commonwealth of Massachusetts or the United States of America whose principal place of business is within the Commonwealth of Massachusetts and is designated to perform such functions, activities, or service in connection with the operations of the Lottery for the deposit and handling of Lottery funds.

Claims Center, Claim Center or Office means any place designated by the Lottery where the holder or his/her representative may file a claim upon a form supplied by the Lottery for payment or acknowledgment of a Lottery prize and the submission of the winning ticket.

Commission means a board of five members consisting of the State Treasurer, Secretary of Public Safety or his/her designee, the State Comptroller, or his/her designee, and two persons appointed by the Governor with the powers and authority to conduct a state Lottery as conferred by law.

Director means the Director of the Massachusetts State Lottery. Any reference to powers and duties of the Director also means the Director’s authorized designee.

Gift Certificate means a document printed in fixed dollar amount redeemable for Lottery products.

Instant/Pull Tab Ticket shall mean a Lottery ticket issued by the State Lottery.

Lottery or State Lottery means the Lottery established and operated pursuant to M.G.L. c. 10, §§ 22 through 35 and § 36.

On-line System shall mean the Lottery's On-line Computer Wagering System consisting of ticket issuing terminals, central processing equipment and a communications network.

On-line Instant Ticket Cashing means a procedure by which sales agents are required, as a prerequisite to cashing, to validate instant tickets via an on-line bar code scanner.

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(4) List of Winning Tickets. Lottery offices and Sales Agents will be provided with a sufficient number of lists containing certain winning Lottery numbers for the prior 52 weeks which will be available to the public view at each location transacting Lottery business.

(5) Lottery Verification. The Sales Agent or claim center reviews the claim form and the ticket and must be assured that the ticket is a winner, that the back of the ticket and the claim form are properly filled out and signed by the claimant, and that the ticket has been presented for payment in accordance with 961 CMR 2.38(2) prior to the expiration date. Upon validation, the prize money will be forwarded to the claimant in check form except that the winner of the prize of $50,000 or more must present him/herself in person at the office of the Director to receive his/her prize unless he/she is physically or mentally incapable of so doing. If the claim is invalidated, the claim is denied and the Director will promptly notify the claimant. The claimant, if aggrieved, shall have a right pursuant to M.G.L. c. 30A to appeal the decision to the Commission. Any such appeal shall be in writing and made within 30 days of the giving of Notice of the Director’s determination. In accordance with M.G.L. c.30A, § 11(7), if less than a majority of the Commissioners of the Massachusetts State Lottery Commission are present at a hearing no party shall be entitled to a tentative or proposed decision unless such party makes written request in advance for such tentative or proposed decision.

(6) If a claimant is aggrieved by the Director's denial of his/her claim for a prize, he/she may request an informal hearing with the Director to discuss his/her grievances and a reconsideration of his/her claim by the Director. If the Director concludes that there is a meritorious basis for the claimant's complaint, he/she may revise his/her prior decision or refer the matter to the Commission for its determination.

(7) The Director may establish procedures other than those specified in 961 CMR 2.00 for claiming and paying prizes of less than $601.00. Such procedures shall be set forth in Administrative Bulletins issued by the Director.

(8) In the event a claim is based on a ticket which is incomplete or non-conforming or in any way defective, invalid or void as determined by the Director, the limit of the Commission's liability shall be, at its option, the price of the ticket or replacement thereof.

(9) If a prize won is an opportunity to participate in a televised drawing, said opportunity shall be personal to the owner or holder of any ticket winning such prize and, except as authorized by the Director in writing, no person other than said owner or holder shall be entitled to participate in said televised drawing.

2.39: Ownership of Lottery Tickets

Until such time as a name is imprinted or placed upon the portion of the Lottery ticket so designated for such purpose, a Lottery ticket shall be considered in bearer form and thereby owned by the person in physical possession of said ticket. The Commission need not recognize or give credence to any claims that a winning Lottery ticket was stolen if in bearer form. The Commission need only recognize as the true owner of a winning Lottery ticket the person whose signature appears upon the ticket in the area designated for said purpose. The Commission requires that each winning ticket have placed thereon in the area designated for such purpose the name, address, telephone number and signature of the owner. If the owner is a minor, or a person under a disability, then the minor's name or disabled person's name should appear on the ticket with the signature of the person claiming the prize in behalf of the minor or disabled person and his/her telephone number if the owner's number is not available or non-existent. The Commission shall make payment in complete reliance of the information submitted to it on the claim form and winning ticket. In the event there is an inconsistency in the information submitted on the claim form and as shown on the winning ticket, the Director shall make an investigation and withhold all winnings awarded to the ticket owner until such time as he/she is satisfied that the winnings are paid to the proper person. Regardless of any other provisions herein contained, the Commission may rely on the name of the owner, his/her address and other information contained on the claim form although apparently inconsistent with the ticket, and pay all winnings to said ticket owner or his/her proper representative according to law and

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961 CMR 2.00 without further responsibility and liability. The Commission for its purposes will recognize only one person as owner of a ticket. The Commission will make payment to only one person per prize won regardless of the number of persons claiming ownership of the prize winning ticket. Payment of said prize to the person designated as agent for collection shall discharge the Director from all liability resulting therefrom. No payment will be made on a winning ticket unless all spaces provided on both the claim form and winning ticket are filled in with the requested information or an acknowledgment that said information is unknown or unavailable. There is no obligation or duty of the Commission, its personnel or representatives to look beyond the payment to the owner as his/her name appears on the claim form. If a trust is used as a payee of the winnings, or if a legal entity is the owner or payee, the Federal employee taxpayer's number must be placed on the claim form.

2.40: Bonus Payments to Sales Agents

In addition to the prize structure in 961 CMR 2.40, incentive prize bonuses as determined by the Director, are awarded to the Sales Agents as they relate to certain prizes awarded to the holders of winning tickets sold by the Sales Agents. Said bonuses are computed at 1% of the face amount of the prize; and no bonus payments shall be made to Sales Agents which exceed the sum of $25,000; except in the case of MEGAMILLIONS where no bonus payments shall be made to Sales Agents which exceed the sum of $50,000; except in a particular instant game where the bonus payment on a specific prize shall be set forth in the Administrative Bulletin for that game. In the event of a bonus award to a Sales Agent as it relates to certain prizes awarded to the holders of winning tickets sold by the Sales Agent in the form of Season Tickets, the bonus shall be awarded only to the original Sales Agent provided that the license of said Sales Agent has not been terminated or is not valid for any reason at the time the ticket is a winner. The identification of Sales Agents entitled to these bonuses will be made in the central computerized files of the Lottery. Bonuses will be paid following verification of the winning ticket holder's claim or for all games other than the instant games within a reasonable time in the case of unclaimed prizes. All determinations relative to Sales Agent's bonuses due or owing shall be made by the Director whose decision and judgments shall be final and binding upon all parties in interest.

2.41: Other Lotteries or Sweepstakes

The Commission reserves the right to institute a separate and distinct Lottery or Sweepstakes similar or different in its method of drawings, price of tickets, and qualifications in 961 CMR 2.41 and, by the further promulgation of 961 CMR 2.00 to control the methods and procedures, if different, for said separate Lottery or sweepstakes if it be put into effect.

2.42: Prizes Payable after Death or Disability of Owner

All prizes or a portion thereof which remain unpaid at the time of the prize winner's death shall be payable to his/her duly qualified Administrator, Executor or other representative of his/her estate once satisfactory evidence of said representative's appointment has been presented to the Director, claim forms have been properly filled out, and the Director is satisfied that such payment is lawful and proper. Prize monies will be paid according to the Law of Descent and Distribution of the Commonwealth of Massachusetts if the owner thereof dies intestate regardless of whether he/she was domiciled at the time of his/her death in the Commonwealth of Massachusetts or according to the provisions of his/her Last Will and Testament if he/she dies testate. The Director may rely wholly on the presentment of certified copies of a court's appointment of an Administrator or Executor, Guardian, Conservator or on any other evidence of a person entitled to the payment of any prize winnings then due. The payment to the estate of the deceased owner of any prize winnings by the Commission shall absolve the Commission and its agents of any further liability for payment of said prize winnings. The Commission need not look to the payment of the prize winnings beyond the payee thereof. Under no circumstances will the payment of prize money be accelerated beyond its normal dates of payment by the Commission. The Director reserves the right to petition any

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court of competent jurisdiction to request a determination for the payments of any prize winnings which are or may become due the estate of a deceased owner or an owner under a disability because of, but not limited to, underage, mental deficiency, physical or mental incapacity. If the legatee(s) or heir(s) of a deceased owner entitled to prize winnings obtains an order from a court of competent jurisdiction directing payments due and to become due from the Commission to be paid directly to said legatee(s) or heir(s) or otherwise directs the Commission to make payments to another in the event of an owner's disability or otherwise, the Commission shall pay the prize winnings accordingly.

2.43: Payment of Prizes

All prizes shall be paid within a reasonable time after they are awarded and after the claims are verified by the Director. The date of the first installment payment of each prize requiring annual payments shall be the commencement date of the payments and a payment shall be made on or about the anniversary date of the drawing thereafter in accordance with the type of prize awarded. The Director may, at any time, delay any payment in order to review a change of circumstances relative to the prize awarded, the payee, the claim or any other matter that may have come to his/her attention. All delayed payments will be brought up to date immediately upon the Director's confirmation and continue to be paid on each original anniversary date thereafter. If any prize is payable for the life of the prize winner, the measuring life shall be the natural life of the individual whose name appears on the ticket pursuant to 961 CMR 2.39. Only a natural person may claim such a prize and, if claiming on behalf of a group, corporation or the like, the life of such natural person claiming shall be the measuring life.

2.44: Place of Payment

All payment of prizes will be made to the claimant at such locations consistent with 961 CMR 2.00 as may be designated by the Director. Claimant may obtain payment in person at any approved location by first requesting this in writing to the State Lottery, 60 Columbian Street, Braintree, Massachusetts 02184.

2.45 Discharge of State Lottery upon Payment

The Commonwealth of Massachusetts, its subdivisions, agents, officers employees and representatives, the Commission, its Director, agents, officers, employees and representatives shall be discharged of all liability upon payment of a prize or any one installment thereof to the holder of any winning Lottery ticket or in accordance with the information set forth on the claim form supplied by the Director. If there is a conflict between the information on a winning Lottery ticket and the information of the claim form, the Commission may rely on the claim form after the ticket for which it has been filed has been validated as a winning ticket and, in so doing, it will be relieved of all responsibility and liability in the payment of a prize in accordance with the information set forth therein. The Commission's decisions and judgements in respect to the determination of a winning ticket or of any other dispute arising from the payment or awarding of prizes shall be final and binding upon all participants in the Lottery unless otherwise provided by law and 961 CMR 2.00. In the event a dispute arises to the winning ticket, a claim form, the payment, or the awarding of any prize, the Commission may withhold payment of the prize winnings until it determines the controversy and reaches a decision or it may petition a court of competent jurisdiction for instructions and a resolution of the controversy. Payment pursuant to 961 CMR 2.45 shall discharge the Commission and Director of further liability or responsibility to any and all claimants. In the event of any controversy or confusion in the interpretation and application of the law or of 961 CMR 2.00 or of any other procedure employed by the Commission, the Director, by direction of the Commission, may petition a court of competent jurisdiction.

2.46: Amendments

The Commission may amend, modify, or otherwise change 961 CMR 2.00 and upon full compliance with law, said amendments, modifications or changes shall become as effective and applicable to Lottery business and administration as if part of the original 961 CMR 2.00.

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2.47: Returned Lottery Tickets

All instant tickets once returned by Sales Agents may not be re-issued without prior approval of the Director.

2.48: Postponement of Drawings

The Director may postpone any drawing to a date certain and publicize the same if he/she finds, in his/her sole discretion, that such postponement will serve the public welfare and protect the public interests.

2.49: Change of Drawing Format

The Director may, with the approval of the Commission, alter the format of the drawings of the MEGABUCKS DOUBLER Game authorized by 961 CMR 2.53, the MASS CASH Game authorized by 961 CMR 2.55, and THE BIG GAME authorized by 961 CMR 2.59 at such times and in such manner as in his/her discretion he/she deems appropriate, including but not limited to, the amendment or reissuance, with the same or different numbers, of any subscription or "Season Ticket" plan in effect at such time. The foregoing is a condition of sale of any subscription plan or "Season Ticket" and the purchaser or holder agrees that the nature of the game or any number or numbers assigned may be changed pursuant to 961 CMR 2.49 at any time during the duration of such subscription plan or "Season Ticket".

2.50: Sales of Lottery Tickets to Minors - Penalties

The Director may impose the following penalties for sales agents who sell Lottery tickets to individuals under the age of 18 years of age.

(1) First Offense. The sales agents ability to sell tickets for one or more of the games may be suspended for up to two business days in accordance with the provisions of 96l CMR 2.13 pending a hearing pursuant to 96l CMR 2.18.

(2) Second Offense. The sales agents ability to sell tickets for one or more of the games may be suspended for up to five business days in accordance with the provisions of 96l CMR 2.13 pending a hearing pursuant to 96l CMR 2.18.

(3) Third Offense. The sales agents ability to sell tickets for all games may be suspended or revoked in accordance with the provisions of 96l CMR 2.13 pending a hearing pursuant to 96l CMR 2.18.

2.52: The Numbers Game -- On-line System Operating Rules

(1) Valid Bet. Except as otherwise provided in 961 CMR 2.52(1), a valid bet on the Numbers Game using the On-line System shall be a bet which is: (a) Placed with and accepted by a sales agent licensed to sell the Numbers 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 Bet Type Selection 3. The Amount Wagered 4. The Number of Draws Played 5. The Date or Dates of Play 6. The Times or Times of Draw Selection 7. A Terminal Identification Number 8. A 18-Digit Ticket Serial Number 9. A Machine Readable (Bar Code) Ticket Serial Number

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a. Use only pencil or blue ballpoint pen for marking the slip b. Place no more than one mark (—) in any column c. Place a mark (—) in at least one column under each of the Sections labeled PICK YOUR NUMBER, MARK YOUR BET(S), CHOOSE NUMBER OF DRAWS and SELECT TIME OF DRAW d. Choose the number he/she wishes to play using the section of the slip labeled PICK YOUR NUMBER and mark an "—" in one or more of the columns to reflect his number choice. e. Indicate the specific bets he/she wishes to make using the section labeled MARK YOUR BET(S); mark an "—" in the box corresponding to the money amount he wishes to wager for each specific bet type shown in the column he/she wishes to wager for each specific bet type shown in the column headings; mark as many Bet Selection columns as he/she desires to play. If a bettor wishes to bet amounts other than or in addition to those shown, he/she must use additional betting slips. f. Choose the number of draw(s) he/she wishes his/her bet to be active by using the section column labeled "CHOOSE NUMBER OF DRAWS" and mark an "—" in the box corresponding to that number. Active days per week are Monday through Sunday (seven days). All bet selections made on the same slip will be active for the number of draw(s) specified. If a bettor desires to make multiple bet selections and have them active for a different number of draws, he/she must use separate slips. A bettor must make an entry in CHOOSE NUMBER OF DRAWS section even if his/her play is for one draw only. g. Select the draw times he/she wishes his/her bet to be active by using the section labeled “SELECT TIME OF DRAW” and mark an “—“ in the box corresponding to the time of day desired. Drawing times are mid-day and evening seven days a week. If a bettor selects mid-day, the bet will be valid for mid-day drawings only for the number of draws selected. If a bettor selects evening, the bet will be valid for evening drawings only for the number of draws selected. If a bettor selects both, the bet will be valid for both mid-day and evening drawings for the number of draws selected, commencing with the draw after the bet is placed. If a bettor desires to make multiple bet selections and have them active for a different number of draws, he/she must use separate slips. A bettor must make an entry in SELECT TIME OF DRAW section even if his/her play is for one draw only. 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) A bet may be canceled on the day it is placed prior to the close of betting for the selection of the winning number on the draw of the bet by using the cancellation procedure at the betting terminal. 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 Numbers Game agent operating a terminal or at any Lottery operated facility accepting Numbers Game 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 the selection of the winning number on the draw(s) for the bet or bets. In the event that a bet is placed subsequent to the drawing of the winning number, 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 appropriate number selection in order to ensure that the ticket accurately represents the correct number selection, bet selection, effective day or days, the correct drawing time(s) and purchase price. (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 draw 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.

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(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. (h) It shall be the responsibility of the person who collects the prize to make certain that he/she is receiving the correct sum of prize money. The Lottery shall not be liable for any underpayment except that the Director in his/her discretion may direct that an additional prize payment be made in order to correct an obvious mistake.

(3) 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 and 961 CMR 2.00 governing each procedure shall be pursuant to 961 CMR 2.38.

(4) Lost, Mislaid or Stolen Numbers Game Tickets. The Lottery Commission may pay a prize to the holder of a Numbers Game 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 Numbers Game 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/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/she may in his/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/her discretion shall decide otherwise.

(5) 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 Numbers Game and/or any other Lottery game shall be subject to revocation, suspension or non-renewal pursuant to the provisions of 961 CMR 2.13.

(6) Payoffs. Prizes will be paid on a parimutuel basis in such amounts and in accordance with such formulae as may be established by the Director by Administrative Bulletin. The Director may by Administrative Bulletin 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.

(7) Multiplier Feature. The Massachusetts State Lottery Commission may offer a multiplier feature, which may be known by an associated trade name, for the Numbers Game. This is a feature by which a bettor, for an additional wager, may increase the pari-mutuel prize amount by a factor depending upon a multiplier number that is drawn prior to the Numbers drawing. Rules regarding the multiplier feature shall be set by the Director in an Administrative Bulletin governing the game.

(8) All other provisions of 961 CMR 2.00 shall, if applicable, apply to the On-line Numbers Game System.

2.53: On-line Semi-weekly Number Selection Game -- MEGABUCKS DOUBLER

As of April 30, 2008, MEGABUCKS shall be known as the trade name MEGABUCKS DOUBLER.

(1) Valid Bet. Except as otherwise provided in 961 CMR 2.53(1), a valid bet on MEGABUCKS DOUBLER using the On-Line System shall be a bet which is:

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(a) Placed with and accepted by a Sales Agent licensed to sell MEGABUCKS DOUBLER 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 generated ticket in accordance with 961 CMR 2.53. (d) Represented by a ticket generated by a Lottery computer terminal. The ticket must contain the following information: 1. The numbers selected 2. The number of draws played 3. The date(s) of the drawing for which the bet is eligible 4. The amount wagered 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 drawing of the winning numbers on the drawing date shown on the ticket. (f) In the event of a contradiction between information as printed on the ticket and as accepted by the Lottery Computer, the bet accepted by the Lottery Computer shall be the valid bet.

(2) Placing Bets: (a) Bets may be placed by the bettor orally instructing the Lottery agent of his/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. Pick six numbers by marking a "*" in each of the six boxes containing the numbers selected by the bettor. "*" marks must remain inside each box. Bettor must use either pencil or blue ballpoint pen. 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 961 CMR 2.53(1)(d) which is given to the bettor as his/her receipt. (c) Bets cannot be canceled by the sales agent. Sales agents shall be liable for the price of all MEGABUCKS DOUBLER tickets sold and accepted by the Lottery Computer as a valid bet. A bettor's refusal to pay for such a bet shall not relieve the sales agent from responsibility for payment of the price of that bet; except, at the sole discretion of the Director, sales agents may subsequently be given credit for bets so placed and not paid for by the bettor. (d) Bets may be placed with any Sales Agent operating a terminal or at any Lottery operated facility accepting MEGABUCKS DOUBLER bets. (e) Bets may be placed at any time during the day at such time or times as determined by the Director, but all bets must be placed and accepted by the Lottery computer prior to the drawing of the winning numbers on the drawing date shown on the ticket. (f) 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 and prior to the drawing of the winning numbers in order to ensure that the ticket accurately represents the correct number selections, date of bet, amount wagered and date of drawing. (g) In the event that the sales agent or 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 a new ticket be issued by the sales agent (provided betting for the day has not closed) or return of the purchase price. (h) It shall be the responsibility of the person who collects the prize to make certain that he/she is receiving the correct sum of prize money. The Lottery shall not be liable for any underpayment except that the Director in his/her discretion may direct that an additional prize payment is made in order to correct an obvious mistake.

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(i) The Lottery may cancel a season ticket or multiple drawing ticket which has been purchased at a Lottery office or via an authorized telephone order in the event the check presented or credit card used for payment has insufficient funds for the purchase. Canceled tickets shall not be eligible to win a prize.

(3) Betting Tickets. (a) The betting ticket is a bearer instrument unless signed by the 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. (c) No more than one prize shall be paid on each winning ticket.

(4) Lost, Mislaid or Stolen MEGABUCKS DOUBLER Game Ticket. The Lottery Commission may pay a prize to the holder of a MEGABUCKS DOUBLER Game 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 MEGABUCKS DOUBLER game 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/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/she may in his/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 made for one year if the prize exceeds $200.00 unless the Director in his/her discretion shall decide otherwise.

(5) 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 the sales agent's terminal and the sales agent's license to sell the MEGABUCKS DOUBLER Game and/or any other Lottery game shall be subject to revocation, suspension or non-renewal pursuant to the provisions of 961 CMR 2.13.

(6) 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 rules for rounding payments to the nearest dollar or otherwise, establish rules for subtracting overpayments from a pool from subsequent pools, and other such matters as may be necessary or desirable for the proper operation of the game. (a) The minimum annuitized jackpot prize shall be $500,000 payable in 20 equal payments over a period of 20 years ($25,000 per year for 20 years) if the prize is $500,000 and won by one ticket holder. The minimum Cash Option jackpot prize will be further set forth in the Administrative Bulletin. (b) In the event that the jackpot prize is won by more than one ticket holder, said jackpot prize shall be divided equally among all of the jackpot winning ticket holders. (c) In no event will the winner of a jackpot prize receive less than a winner of the second tier prize. (d) All jackpot prize winners have 60 days beginning the day after the winning numbers were drawn to select a payment option. An Annuity Option means winners can choose equal annual payments over a 20 year period. A Cash Option means winners can choose a one- time cash payment which will be the amount allocated for the jackpot prize divided by the number of winning jackpot tickets. If a winner fails to claim the jackpot and select a payment option within the 60 day period, the prize will automatically be paid as an annuity.

((7) Payoffs. Reserved)

(8) Liability. 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.

5/1/09 961 CMR - 24 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 961 CMR: STATE LOTTERY COMMISSION

2.53: continued

(9) Season Tickets. (a) Season Tickets may be sold by the Massachusetts State Lottery Commission and by licensed Sales Agents operating on-line terminals and off-line 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 $50.00. 2. Plan "B" - 104 consecutive drawings sold for the price of $100.00. 3. Plan "C" - 26 consecutive drawings sold for the price of $25.00. (c) The Director reserves the right to adjust both price and number of drawings as defined in 961 CMR 2.53(9)(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. (e) Based upon the Plan selected as defined in 961 CMR 2.53(9)(b), Season Tickets, unless renewed, automatically expire at the end of 52, 104 or 26 drawings. If, upon renewal, the customer requests a change in any or all of the six numbers to be played, his/her renewal application shall be treated as a new ticket rather than a renewal and the effective date of said new ticket will be the expiration date of the previous ticket. Renewal applications received after the time period specified upon the renewal form may be assigned a new effective date. (f) Purchasers of Season Tickets shall select the six numbers he/she wishes to appear on the Season Ticket. Said purchasers are cautioned to examine his/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 Computer shall control. (g) Purchasers of Season Tickets may elect to use the "quic pic" feature for the selection of his/her six numbers. The six numbers 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 of the Season Ticket and registered on the Lottery's Computer. In the event of a conflict, the numbers as registered on the Computer shall control.) (h) In the event the Lottery receives a Season Ticket application with less than six numbers selected by the applicant, the Lottery may randomly select all or any of those omitted numbers to assure each application contains six numbers. (i) In the event the Lottery receives a Season Ticket application with seven or more numbers selected, the Lottery may randomly delete one or more of the numbers selected in order to obtain a valid six number ticket. (j) The owner of a Season Ticket purchased through the On-line System must register his/her name with the Lottery on a form provided with the purchase of the ticket 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/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 MEGABUCKS DOUBLER Season Ticket purchased through an off-line 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. (m) The Director may change the field of numbers from which winning numbers will be selected to a number greater or less than the field available at the time the Season Ticket is purchased. In the event the field 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 the field of numbers in existence at the time the ticket was purchased to one or more of the numbers added to that field. In the event the field is decreased and one or more of the numbers selected at the time the tickets was purchased is eliminated from the field of available numbers, the holder may request, in writing, that the numbers so eliminated be replaced by one or more numbers from the field 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 2.53(9)(m).

5/1/09 961 CMR - 25 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 961 CMR: STATE LOTTERY COMMISSION

2.53: continued

(n) In the event the Commission cancels the operation of MEGABUCKS DOUBLER, 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 MEGABUCKS DOUBLER Season Tickets in the event of said cancellation. (o) All other provisions of 961 CMR shall, if applicable, apply to the Season Ticket MEGABUCKS DOUBLER.

(10) Multiplier Feature. The Massachusetts State Lottery Commission may offer a multiplier feature, which may be known by an associated trade name, for the MEGABUCKS DOUBLER Game. This is a feature by which a bettor, for an additional wager, may increase the prize amount for non-jackpot prize levels by a factor depending upon a multiplier number that is drawn prior to the MEGABUCKS DOUBLER drawing. Rules regarding the multiplier feature shall be set by the Director in an Administrative Bulletin governing the game.

(11) Miscellaneous. All other provisions of 961 CMR shall, if applicable, apply to the On-line Semi-weekly Number Selection Game -- MEGABUCKS DOUBLER.

2.54: On-line Semi-weekly Number Selection Game -- MASS MILLIONS

(1) Valid Bet. Except as otherwise provided in 961 CMR 2.54(1), a valid bet on MASS MILLIONS using the On-line System shall be a bet which is: (a) Placed with and accepted by a Sales Agent licensed to sell MASS MILLIONS 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 generated ticket in accordance with these rules. (d) Represented by a ticket generated by a Lottery computer terminal. The ticket must contain the following information: 1. The numbers selected 2. The number of draws played 3. The date(s) of the drawing for which the bet is eligible 4. The amount wagered 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 drawing of the winning numbers on the drawing date shown on the ticket. (f) In the event of a contradiction between information as printed on the ticket and as accepted by the Lottery Computer, the bet accepted by the Lottery Computer shall be the valid bet.

(2) Placing Bets. (a) Bets may be placed by the bettor orally instructing the Sales Agent of his/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. Pick six numbers by marking a "*" in each of the six boxes containing the numbers selected by the bettor. "*" marks must remain inside each box. Bettor must use either pencil or blue ballpoint pen. 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 961 CMR 2.54(1)(d) which is given to the bettor as his/her receipt. (c) Bets cannot be canceled by the sales agent. Sales agents shall be liable for the price of all MASS MILLIONS tickets sold and accepted by the Lottery Computer as a valid bet. A bettor's refusal to pay for such a bet shall not relieve the sales agent from responsibility for payment of the price of that bet; except, at the sole discretion of the Director, sales agents may subsequently be given credit for bets so placed and not paid for by the bettor.

5/1/09 961 CMR - 26 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 961 CMR: STATE LOTTERY COMMISSION

2.55: continued

(5) 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 the Sales Agent's terminal and the Sales Agent's license to sell the MASS CASH Game and/or any other Lottery game shall be subject to revocation, suspension or non-renewal pursuant to the provisions of 961 CMR 2.13.

((7) Payoffs. Reserved)

(8) Liability. 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.

(9) Season Tickets. (a) Season tickets may be sold by the Massachusetts State Lottery Commission and by licensed Sales Agents operating on-line terminals. (b) Season Tickets will be sold in the following manner: 1. Plan “A” - 78 consecutive drawings for the price of $75.00. 2. Plan “B” - 156 consecutive drawings for the price of $150.00. 3. Plan “C” - 39 consecutive drawings for the price of $38.00. (c) The Director reserves the right to adjust both the price and number of drawings as defined in 961 CMR 2.55(9)(b). (d) Season Tickets become effective and eligible to win a prize starting with the effective date printed on the ticket. Season Tickets may not be effective on the date of purchase. (e) Based upon the Plan selected as defined in 961 CMR 2.55(9)(b), Season Tickets, unless renewed, automatically expire at the end of 52, 104 or 26 drawings. If upon renewal, the customer requests a change in any or all of the five numbers to be played, his/her renewal application shall be treated as a new ticket rather than a renewal and the effective date of said new ticket will be the date printed on the new ticket. Renewal applications received after the time period specified upon the renewal form may be assigned a new effective date. (f) Purchasers of Season Tickets shall select the five numbers he/she wishes to appear on the Season Ticket. Said purchasers are cautioned to examine his/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 Computer shall control. (g) Purchasers of Season Tickets may elect to use the "quic pic" feature for the selection of his/her five numbers. The five numbers 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 Computer shall control. (h) In the event the Lottery receives a subscription application form with less than five numbers selected by the applicant, the Lottery may randomly select all or any of those omitted numbers to assure each application contains five numbers. (i) In the event the Lottery receives a subscription application form with six or more numbers selected, the Lottery may randomly delete one or more of the numbers selected in order to obtain a valid five number ticket. (j) The owner of a Season Ticket purchased through the On-line System must register his/her name with the Lottery on a form provided with the purchase of the ticket if prizes are to be paid automatically and renewal information to be sent.

5/1/09 961 CMR - 31 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 961 CMR: STATE LOTTERY COMMISSION

2.55: continued

(k) When more than one name appears on the application or registration form, the Lottery may select the first name listed and designate him/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 MASS CASH Season Ticket purchased through an off-line 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. (m) The Director may change the field of numbers from which winning numbers will be selected to a number greater or less than the field available at the time the Season Ticket is purchased. In the event the field 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 the field of numbers in existence at the time the ticket was purchased to one or more of the numbers added to that field. In the event the field is decreased and one or more of the numbers selected at the time the ticket was purchased is eliminated from the field of available numbers, the holder may request, in writing, that the numbers so eliminated be replaced by one or more numbers from the field 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 2.55(9)(m). (n) In the event the Commission cancels the operation of MASS CASH, 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 holder of MASS CASH Season Tickets. (o) All other provisions of 961 CMR shall, if applicable, apply to the Season Ticket--MASS CASH.

(10) Multiplier Feature. The Massachusetts State Lottery Commission may offer a multiplier feature, which may be known by an associated trade name, for the Mass Cash Game. This is a feature by which a bettor, for an additional wager, may increase the prize amount for all prize levels by a factor depending upon a multiplier number that is drawn prior to the Mass Cash drawing. Rules regarding the multiplier feature shall be set by the Director in an Administrative Bulletin governing the game.

2.56: Pull Tab Tickets

(1) Definitions.

Deal. Each separate package, or series of packages, consisting of one game of pull tab tickets with the same serial number purchased from a distributor through the Lottery.

5/1/09 961 CMR - 32 The text of the regulations published in the electronic version of the Massachusetts Register is unofficial and for informational purposes only. The official version is the printed copy which is available from the State Bookstore at http://www.sec.state.ma.us/spr/sprcat/catidx.htm. 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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